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WS

William G. Stapleton

Some features on this profile are disabled
CRD#: 5422225
WS

Professional summary

William Gerard Stapleton 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 advisor and started their career in finance in 2008. Prior to being barred, William had worked at 6 firms, which includes ARQUE CAPITAL LTD., J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., MORGAN STANLEY, MORGAN STANLEY & CO. LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Welleam Gerard Stapleton | William G Stapleton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 6, 2012 - January 30, 2015

ARQUE CAPITAL, LTD.

RIA
CRD#: 121192
TUSTIN, CA
Past

December 6, 2012 - January 30, 2015

ARQUE CAPITAL, LTD.

BD
CRD#: 121192
IRVINE, CA
Past

October 1, 2012 - November 15, 2012

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
TUSTIN, CA
Past

October 1, 2012 - November 15, 2012

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
TUSTIN, CA
Past

May 19, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
TUSTIN, CA
Past

May 19, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
TUSTIN, CA
Past

June 1, 2009 - May 19, 2010

MORGAN STANLEY

RIA
CRD#: 149777
SANTA ANA, CA
Past

June 1, 2009 - May 19, 2010

MORGAN STANLEY

BD
CRD#: 149777
SANTA ANA, CA
Past

October 6, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
SANTA ANA, CA
Past

September 15, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SANTA ANA, CA
Past

May 26, 2008 - July 25, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
EL SEGUNDO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/3/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/30/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 10/24/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/22/2008
General Securities Representative Examination

Current Firm

AC
ARQUE CAPITAL, LTD.
ARQUE CAPITAL, LTD. | QUANTUM LEAP SECURITIES, LLC

CRD#: 121192 / SEC#: 801-70283, 8-65390

BD
Terminated by SEC on 08/15/2023
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Contact information

Main Address
5665 North Scottsdale Road Suite 130, Scottsdale, AZ 85250
Mailing Address
Phone number
(602) 971-9000
Established
California since 11/18/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
4

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ARQUE ORION WINTER SKIES, LTD.PARENT COMPANY
KUWABARA, AUDREY MARIPRESIDENT & CEO (INTERIM)5007219
KUWABARA, AUDREY MARICHIEF RISK OFFICER/GENERAL COUNSEL/SECRETARY/CHIEF COMPLIANCE OFFICER5007219
NING, MICHAEL CHENGPRESIDENT & CEO1229733
ROACH, ROBERT GARFIELD JRFINOP2731222
SCANLON, TIMOTHY JOSEPHDIRECTOR - PRIVATE CLIENT DIVISION1968597
SULLIVAN, JAMES CHESTEROPTIONS PRINCIPAL804918

Regulatory assets under management

Total Number of Accounts9
AUM (Assets Under Management)$ 6,000,000

Disclosures

Regulatory Event5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ARQUE CAPITAL, LTD.

CRD#: 121192

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