William C. Davis
Professional summary
William Clark Davis was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, William had worked at 10 firms, which includes CONTINENTAL CAPITAL INVESTMENT SERVICES INC., CONTINENTAL CAPITAL SECURITIES INC, XTENT FINANCIAL GROUP INC., A. G. EDWARDS & SONS INC., MOSELEY SECURITIES CORPORATION, MOSELEY HALLGARTEN & ESTABROOK INC, MOSELEY HALLGARTEN & ESTABROOK INC., F. S. MOSELEY ESTABROOK INC., DUPONT WALSTON INCORPORATED, DUPONT GLORE FORGAN INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2002 - March 11, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
May 7, 1984 - January 1, 2002
CONTINENTAL CAPITAL SECURITIES, INC
February 28, 1984 - April 16, 1984
XTENT FINANCIAL GROUP, INC.
November 1, 1982 - December 27, 1983
A. G. EDWARDS & SONS, INC.
September 12, 1978 - November 16, 1982
MOSELEY SECURITIES CORPORATION
April 28, 1976 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
April 26, 1974 - April 28, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC.
March 6, 1974 - April 26, 1974
F. S. MOSELEY, ESTABROOK INC.
July 2, 1973 - April 22, 1974
DUPONT WALSTON, INCORPORATED
March 15, 1973 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
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 1
Date: 2/7/1973
Registered Representative ExaminationSeries 40
Date: 6/16/1977
Registered Principal ExaminationCurrent Firm
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
CRD#: 2864 / SEC#: , 8-7865
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL CAPITAL CORP. | OWNER | |
| AYLING, JOHN RUSSELL | OFFICER | 9294 |
| BAKER, TAMARA ELAINE | OFFICER/MUNICIPAL PRINCIPAL | 3017864 |
| CAMERON, JOHN WILLIAM | OFFICER /SR. VICE PRESIDENT | 1253957 |
| GRUVER, DONALD LESLIE | COMPLIANCE OFFICER / OPTIONS PRINCIPAL | 2266415 |
| KOWALSKI, DENNIS J | CONTROLLER/CHIEF FINANCIAL OFFICER/FINANCIAL PRINCIPAL | 2526293 |
| LOSBY, THOMAS DAVID | CHIEF OPERATIONS OFFICER /PRESIDENT | 1301638 |
| NOETHEN, BRITTANY MICHELLE | VICE PRESIDENT/COMMUNICATIONS AND INFORMATION SYSTEMS | 2610543 |
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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