William W. Morris
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 Wilson Morris JR, who also goes by William W Morris Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1974. William had worked at 10 firms and has passed the Series 63, SIE, Series 55 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2006 - July 1, 2019
BUCKMAN, BUCKMAN & REID, INC.
September 16, 2004 - October 27, 2005
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
November 3, 2003 - September 14, 2004
FULCRUM GLOBAL PARTNERS LLC
July 1, 2002 - October 31, 2003
BURLINGTON CAPITAL MARKETS INC.
March 1, 2002 - April 22, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
November 14, 2000 - April 30, 2001
ABN AMRO INCORPORATED
March 10, 1978 - October 19, 2000
PERSHING LLC
February 24, 1978 - March 10, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
November 12, 1975 - February 24, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
July 2, 1974 - November 9, 1975
AUERBACH, POLLAK & RICHARDSON, 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 55
Date: 5/22/2003
Limited Representative-Equity Trader ExamSeries 1
Date: 6/27/1974
Registered Representative ExaminationCurrent Firm
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
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.
