William Teague
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 Teague, who also goes by William Goldston Teague, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2013. William had worked at 7 firms and has passed the Series 66, Series 7TO, 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
April 22, 2019 - September 27, 2021
PATRICK CAPITAL MARKETS, LLC
April 18, 2019 - September 27, 2021
SAXONY CAPITAL MANAGEMENT, LLC
December 19, 2017 - July 26, 2018
EMERSON EQUITY LLC
May 24, 2016 - October 20, 2017
DEMPSEY LORD SMITH, LLC
May 24, 2016 - October 20, 2017
DEMPSEY LORD SMITH, LLC
September 14, 2015 - May 17, 2016
SANDLAPPER SECURITIES, LLC
March 31, 2014 - August 26, 2015
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
December 11, 2013 - August 26, 2015
CAPITAL INVESTMENT GROUP, 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 7TO
Date: 1/21/2024
General Securities Representative ExaminationCurrent Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
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.
