William F. Grundy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Floyd Grundy was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2008. William had worked at 3 firms and has passed the Series 65, Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2012 - June 13, 2012
BEST DIRECT SECURITIES, LLC
June 20, 2011 - June 5, 2012
CONCORDIUS CAPITAL ADVISORS
March 6, 2008 - April 21, 2010
LONGVIEW FINANCIAL GROUP, INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 2/1/2008
Corporate Securities Limited Representative ExaminationCurrent Firm
BEST DIRECT SECURITIES, LLC
CRD#: 146053 / SEC#: , 8-67777
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEREGRINE FINANCIAL GROUP, INC | OWNER / SOLE MEMBER | |
| LISHCHYNSKY, MARK JOHN JR | CHIEF COMPLIANCE OFFICER | 2478952 |
| LISHCHYNSKY, MARK JOHN JR | PRESIDENT | 2478952 |
| SADZEWICZ, GERY JOSEPH | FINOP | 1090963 |
| TEGTMEIER, JAMES GORDON | BRANCH OFFICE MANAGER / GENERAL SECURITIES PRINCIPAL | 4042452 |
| TEGTMEIER, JAMES GORDON | SROP & CROP | 4042452 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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