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WS

William D. Sokol

VAN ECK SECURITIES
New York, NY 10017-4033
Some features on this profile are disabled
CRD#: 5502095
WS

Professional summary

William David Sokol is a registered financial professional currently at VAN ECK SECURITIES CORPORATION located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 2008. William has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 17 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view William David Sokol's CRS (Customer Relationship Summary).

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

Current

April 8, 2016 - Present

VAN ECK SECURITIES CORPORATION

Office #1: 666 Third Avenue 9th Floor, New York, NY 10017-4033
BD
CRD#: 2269
New York, NY
Past

November 4, 2013 - March 18, 2016

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

October 3, 2012 - September 24, 2013

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
ISELIN, NJ
Past

May 23, 2008 - July 12, 2010

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(4/8/2016)
RR
New York
(4/8/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 8/7/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 17
Date: 5/22/2008
Limited Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VE
VAN ECK SECURITIES CORPORATION
I. I. I. SECURITIES CORPORATION | VE | VANECK | VAN ECK SECURITIES CORPORATION

CRD#: 2269 / SEC#: , 8-4618

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
666 Third Avenue 9th Floor, New York, NY 10017-4033
Mailing Address
666 Third Avenue 9th Floor, New York, NY 10017-4033
Phone number
(212) 293-2000
Established
Delaware since 08/01/1955
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
VAN ECK ASSOCIATES CORPORATION100% OWNER & PARENT
GOZZILLO, FRANCESCO MICHAELCHIEF COMPLIANCE OFFICER2099916
RAPPAPORT, LEE ROBERTVICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR4682842
SIMON, JONATHAN RICHSENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR5313394
VANECK, JAN FREDERICKPRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR1695680

Disclosures

Regulatory Event2

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

VAN ECK SECURITIES CORPORATION

CRD#: 2269New York, NY 10017-4033

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