William C. Oliver
Professional summary
William C Oliver, who also goes by William C Oliver Jr, is a registered financial professional currently at STONEX SECURITIES INC. located in Tyler, Texas.
William is registered as a RR (Registered Representative) and started their career in finance in 2013. William has worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William C Oliver's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 6, 2019 - Present
STONEX SECURITIES INC.
March 15, 2019 - December 23, 2019
QUEST CAPITAL STRATEGIES, INC.
August 3, 2016 - November 7, 2018
FORESTERS EQUITY SERVICES, INC.
September 28, 2015 - March 22, 2016
MML INVESTORS SERVICES, LLC
March 29, 2013 - June 11, 2015
MWA FINANCIAL SERVICES 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
(12/6/2019)
Exams
FINRA
Current Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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