William J. Davis
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 J Davis was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 5 firms and has passed the SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2006 - March 5, 2015
CADARET, GRANT & CO., INC.
January 6, 2000 - August 2, 2006
CANTELLA & CO., INC.
December 15, 1976 - December 31, 1999
ILICOB SALES CORPORATION
February 22, 1974 - January 30, 1977
CUSHING CAPITAL CORPORATION
July 7, 1969 - May 18, 1974
CUSHING PLACE, 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 1
Date: 2/14/1968
Registered Representative ExaminationSeries 00
Date: 6/24/1969
General Securities Principal ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
