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WM

William G. Masters

DASH FINANCIAL TECHNOLOGIES LLC
Jersey City, NJ 07302
Some features on this profile are disabled
CRD#: 5772657
WM

Professional summary

William Given Masters, who also goes by William G Masters, William Masters, is a registered financial professional currently at DASH FINANCIAL TECHNOLOGIES LLC located in Jersey City, New Jersey.

William is registered as a RR (Registered Representative) and started their career in finance in 2014. William has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William G Masters | William Masters

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 Given Masters'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

November 27, 2017 - Present

DASH FINANCIAL TECHNOLOGIES LLC

Office #1: 70 Hudson Street, Jersey City, NJ 07302
BD
CRD#: 104031
Jersey City, NJ
Past

August 31, 2015 - August 15, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
VINELAND, NJ
Past

August 20, 2015 - August 15, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
VINELAND, NJ
Past

December 24, 2014 - July 30, 2015

SUSQUEHANNA SECURITIES, LLC

BD
CRD#: 35874
BALA CYNWYD, PA
Past

June 12, 2014 - July 30, 2015

SAL EQUITY TRADING, GP

BD
CRD#: 29337
BALA CYNWYD, PA

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
Illinois
(11/29/2017)
RR
New York
(11/29/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/26/2015
Uniform Combined 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: 6/12/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/11/2017
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/14/2014
General Securities Principal Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

DF
DASH FINANCIAL TECHNOLOGIES LLC
DASH FINANCIAL LLC | ELECTRONIC BROKERAGE SYSTEMS, LLC | ELECTRONIC BROKERAGE SYSTEMS, INC. | DASH FINANCIAL TECHNOLOGIES LLC

CRD#: 104031 / SEC#: , 8-52503

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

Main Address
200 S.wacker Drive Suite 2450, Chicago, IL 60606
Mailing Address
200 S.wacker Drive Suite 2450, Chicago, IL 60606
Phone number
(312) 986-2006
Established
Delaware since 12/18/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DFT INTERMEDIATE LLCMEMBER
BUTLER, JACLYN LEIGHCHIEF COMPLIANCE OFFICER4175577
LONGOBARDI, JEREMYFINOP6694598
MILITO, STINO MARIOPRESIDENT4072644
MILLER, TIMOTHY PATRICKCHIEF OPERATING OFFICER5175547

Disclosures

Regulatory Event68

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

DASH FINANCIAL TECHNOLOGIES LLC

CRD#: 104031Jersey City, NJ 07302

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