William B. Stafford
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 Brook Stafford, who also goes by Brook Stafford, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2013. William had worked at 2 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2017 - August 29, 2019
TD AMERITRADE, INC.
April 25, 2013 - August 29, 2014
CETERA WEALTH SERVICES, LLC
February 4, 2013 - August 29, 2014
CETERA WEALTH SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
