William J. Webb
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 James Webb, who also goes by Bill Webb, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 11 firms and has passed the Series 63, PC, Series 000 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
January 3, 1991 - June 10, 1994
ADVEST, INC.
September 17, 1979 - March 12, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 27, 1978 - November 15, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 24, 1978 - December 2, 1978
MORGAN STANLEY DW INC.
March 19, 1975 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
October 24, 1974 - April 27, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
December 5, 1973 - November 2, 1974
MCCORMICK & CO., INCORPORATED
July 2, 1973 - December 7, 1973
STIX & CO., INC.
October 25, 1972 - August 7, 1973
WZW FINANCIAL SERVICES, INC.
June 10, 1972 - November 29, 1990
PRUDENTIAL EQUITY GROUP, LLC
May 2, 1972 - November 23, 1972
STIFEL, NICOLAUS & COMPANY, 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
PC
Date: 1/18/1991
AMEX Put and Call ExamSeries 000
Date: 6/10/1972
General Securities Principal ExaminationSeries 1
Date: 4/15/1972
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.
