William G. Engstrom
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 Gordon Engstrom, who also goes by Will Engstrom, William Engstrom, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2021. William had worked at 2 firms and has passed the Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2022 - April 17, 2024
OCEAN TOMO INVESTMENT GROUP, LLC
June 28, 2021 - January 25, 2022
MML INVESTORS SERVICES, LLC
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 7TO
Date: 6/28/2021
General Securities Representative ExaminationCurrent Firm
OCEAN TOMO INVESTMENT GROUP, LLC
CRD#: 172912 / SEC#: , 8-69526
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OCEAN TOMO, LLC | SOLE MEMBER | |
| SPINDEL, HOWARD | CEO/CCO | 708042 |
Red Flags
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