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WC

William P. Compton

Some features on this profile are disabled
CRD#: 5966779
WC

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 P Compton was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2011. William had worked at 4 firms and has passed the Series 63 and Series 7 exams.

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)

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

September 18, 2013 - May 5, 2014

AVENIR FINANCIAL GROUP

BD
CRD#: 148490
MELVILLE, NY
Past

June 3, 2013 - July 25, 2013

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
MELVILLE, NY
Past

July 24, 2012 - May 14, 2013

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
WESTBURY, NY
Past

October 28, 2011 - June 15, 2012

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY

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
Series 63
Date: 12/12/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/27/2011
General Securities Representative Examination

Current Firm

AF
AVENIR FINANCIAL GROUP
AVENIR FINANCIAL GROUP | AVENIR FINANCIAL GROUP, INC.

CRD#: 148490 / SEC#: , 8-68031

BD
Terminated by SEC on 05/11/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Wyoming since 07/26/2010
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLEN, DAVID ARTHURPASSIVE INVESTOR2500427
CLEMENTS, MICHAEL TODDCEO,CCO1702071
PASQUESI, MAUROPASSIVE INVESTOR OWNER6148602
BABOULIS, LINDAPASSIVE INVESTOR6441448
CLEMENTS, JUDITHPASSIVE INVESTOR6432441

Disclosures

Regulatory Event4
Arbitration3

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

AVENIR FINANCIAL GROUP

CRD#: 148490

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