William B. Mcknight
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 Barber Mcknight was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2013. William had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 4 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
May 20, 2020 - December 23, 2021
TRADIER BROKERAGE, INC.
November 1, 2019 - April 21, 2020
WELLS FARGO CLEARING SERVICES, LLC
October 22, 2019 - April 21, 2020
WELLS FARGO CLEARING SERVICES, LLC
March 20, 2018 - June 4, 2019
MML INVESTORS SERVICES, LLC
March 16, 2018 - June 4, 2019
MML INVESTORS SERVICES, LLC
May 12, 2015 - February 1, 2018
WELLS FARGO CLEARING SERVICES, LLC
October 15, 2014 - February 1, 2018
WELLS FARGO CLEARING SERVICES, LLC
November 12, 2013 - August 14, 2014
VANGUARD MARKETING CORPORATION
June 13, 2013 - August 28, 2013
WELLS FARGO CLEARING SERVICES, 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
Current Firm
TRADIER BROKERAGE, INC.
CRD#: 104982 / SEC#: , 8-52972
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
