William J. Degnan
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 Joseph Degnan JR was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 7 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 1990 - December 7, 1990
ADVEST, INC.
March 26, 1990 - April 16, 1990
ALEX. BROWN & SONS INCORPORATED
February 17, 1981 - February 7, 1990
CITIGROUP GLOBAL MARKETS INC.
February 8, 1980 - March 13, 1981
J.P. MORGAN SECURITIES LLC
June 30, 1975 - December 8, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
October 1, 1973 - March 25, 1976
KIDDER, PEABODY & CO., INCORPORATED
July 29, 1970 - September 13, 1973
DOMIK CORP.
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
PC
Date: 5/4/1990
AMEX Put and Call ExamSeries 1
Date: 3/12/1969
Registered Representative ExaminationCurrent Firm
ADVEST, INC.
CRD#: 10 / SEC#: , 8-21409
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVEST GROUP, INC. | PARENT COMPANY OF ADVEST, INC. | |
| DIAMOND, JASON HOWARD | C.F.O. | 2320884 |
| DOYLE, SCOTT JOHN | SROP | 2100219 |
| FREITAG, WILLIAM CHRISTIAN | C.C.O. | 1732667 |
| HOROWITZ, DAVID ADAM | DIRECTOR | 1827880 |
| KUCKRO, LEE GERARD | C.L.O. | 1318309 |
| MCINTOSH, LAWRENCE FORBES | C.R.O.P. | 1571279 |
| MULLANE, DANIEL JOSEPH | PRESIDENT AND CEO | 1246435 |
| WELLINGTON, JOHN HOLMES SR | DIRECTOR - C.O.O. | 1314741 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 53 |
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.
