William J. Poynter
Professional summary
William Justin Poynter was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 2009. Prior to being barred, William had worked at 4 firms, which includes TD AMERITRADE INC., TD AMERITRADE INVESTMENT MANAGEMENT LLC, MORGAN STANLEY, NYLIFE SECURITIES LLC.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2012 - May 12, 2018
TD AMERITRADE, INC.
July 5, 2012 - May 12, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 5, 2012 - May 12, 2018
TD AMERITRADE, INC.
October 21, 2011 - June 15, 2012
MORGAN STANLEY
September 9, 2011 - June 15, 2012
MORGAN STANLEY
March 4, 2009 - May 19, 2011
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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