William D. Feldman
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 Donald Feldman was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2021. William had worked at 1 firm and has passed the Series 63, SIE, Series 79TO and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2021 - January 10, 2025
M3 INVESTMENT GROUP LLC
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 79TO
Date: 7/7/2021
Investment Banking Registered Representative ExaminationCurrent Firm
M3 INVESTMENT GROUP LLC
CRD#: 108888 / SEC#: , 8-53097
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GARRET C HOUSE REVOCABLE TRUST DATED JUNE 9, 2001 | CLASS C AND D OWNER | |
| HARDICK, RORY ALAN | OWNER, TRUSTEE OF INTEREST IN POSSESSION SETTLEMENT CREATED BY RORY HARDICK | 4327559 |
| HOUSE, GARRET CLAUDE | TRUSTEE OF GARRET C HOUSE REVOCABLE TRUST DATED JUNE 9, 2001 | 1735936 |
| SUTER, DONALD E | CLASS C OWNER, CEO, CFO | 2765488 |
| VALLACE, CHRISTOPHER JAMES SR | CLASS C OWNER | 2274577 |
| HRM TRUST | TRUST, CLASS C & D OWNER | |
| MEYER, ROBERT IAN | TRUSTEE OF HRM TRUST | 4786182 |
| THAKORE, TRISHUL VIPUL | CLASS D OWNER | 5817525 |
| AARON, MICHAEL A | CLASS D OWNER | 4279459 |
| ARDU, PINA | CLASS D OWNER | 6625861 |
| BRAZDA, TODD ANDREW | CLASS C OWNER | 5149615 |
| CONWAY, THOMAS DANIEL | CLASS C & D OWNER | 3039343 |
| CULVER, THOMAS CROMWELL | CLASS C OWNER | 5853242 |
| DANIEL P POEHLING IRREVOCABLE TRUST | CLASS C OWNER | |
| INTEREST IN POSSESSION TRUST OF RORY ALAN HARDICK AND PATRICIA ANN HARDICK | TRUST, CLASS C OWNER | |
| KIRA M. AND HUNTER P. SCHENK JOINT REVOCABLE TRUST | CLASS C OWNER | |
| MALLERIS, ANDREW JAMES | CHIEF COMPLIANCE OFFICER | 5959083 |
| MCCARNEY, HAROLD | CLASS D OWNER | 6625894 |
| PATEL, RISHI | CLASS D OWNER | 6625906 |
| POEHLING, DANIEL PAUL | TRUSTEE OF DANIEL P POEHLING IRREVOCABLE TRUST | 4433050 |
| POON, CHARADE SIN WAI | CLASS D OWNER | 7368721 |
| SCHEIDERICH, ELIZABETH ASHLEY | CLASS D OWNER | 6096714 |
| SCHENK, HUNTER PRESCOTT | HUNTER P. SCHENK REVOCABLE TRUST | 5319507 |
| ZHANG, ROBBIE LIANG | CLASS D OWNER | 7368795 |
Red Flags
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