William A. Keezel
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 Alan Keezel was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2015. William had worked at 3 firms and has passed the Series 66, Series 99TO, 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
October 6, 2020 - November 19, 2021
INSTITUTIONAL BOND NETWORK, LLC
February 22, 2016 - October 1, 2020
PROSPERA FINANCIAL SERVICES, INC.
January 25, 2016 - October 1, 2020
PROSPERA FINANCIAL SERVICES, INC.
April 15, 2015 - January 26, 2016
STONEX SECURITIES 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
INSTITUTIONAL BOND NETWORK, LLC
CRD#: 187515 / SEC#: , 8-69609
Contact information
FINRA licenses (17 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAGGE, ERIK NICHOLAS | SENIOR PARTNER, MUNI PRINCIPAL | 3244703 |
| DICKINSON, MARTIN JOHN | OWNER | 1352810 |
| NATALE, CHRISTOPHER JOHN | MANAGING MEMBER & PROPRIETARY TRADER | 4870483 |
| SWEENEY, PATRICK WILLIAM | OWNER | 1350182 |
| ACTON STROIA FAMILY TRUST | TRUST | |
| ACTON, BRIAN LEONARD | TRUSTEE FOR ACTION STROIA FAMILY TRUST | 8167174 |
| CLARK, CATHERINE MARIAN | CHIEF COMPLIANCE OFFICER | 4384961 |
| GILMAN, ROBERT CRAIG | FINOP/CFO/PFO/POO | 1738412 |
| KNIPPA, GARY LOUIS | INVESTOR | 8167504 |
| MATHENY, GREGORY SCOTT | INVESTOR | 8167208 |
| NGUYEN, HOAN-VU TRAN | INVESTOR | 8163339 |
| O'MARA, CHRISTOPHER ROY | PROPRIETARY TRADER | 1657262 |
| RUFFIER, WILLIAM EUGENE | INVESTOR | 8167148 |
| STROIA, SHARON MARIE | TRUSTEE FOR ACTION STROIA FAMILY TRUST | 8168236 |
Red Flags
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