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William H. Rhines Iii

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CRD#: 717569
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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 Henry Rhines Iii, who also goes by William Henry Rhines III, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1980. William had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Henry Rhines Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 16, 2016 - November 9, 2018

INFINITY FINANCIAL SERVICES

RIA
CRD#: 144302
Worcester, MA
Past

August 19, 2016 - March 5, 2019

INFINITY FINANCIAL SERVICES

BD
CRD#: 144302
Worcester, MA
Past

August 16, 2016 - August 17, 2016

ESSEX SECURITIES LLC

BD
CRD#: 46605
JERSEY CITY, NJ
Past

January 25, 2007 - August 26, 2016

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
WORCESTER, MA
Past

August 23, 2006 - August 26, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
WORCESTER, MA
Past

July 7, 2006 - August 9, 2006

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOSTON, MA
Past

April 3, 2002 - July 11, 2006

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
BOSTON, MA
Past

October 11, 2000 - March 27, 2002

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 23, 1999 - October 18, 2000

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

January 5, 1995 - July 28, 1999

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

June 7, 1985 - December 19, 1994

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

October 24, 1980 - June 25, 1985

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/4/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/28/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1980
General Securities Representative Examination

Current Firm

IF
INFINITY FINANCIAL SERVICES
INFINITY FINANCIAL SERVICES | MAR VISTA INSURANCE AGENCY DBA INFINITY FINANCIAL SERVICES | INFINITY SECURITIES, INC. | INFINITY FINANVIAL SERVICES

CRD#: 144302 / SEC#: , 8-67647

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
212 9th Street Suite 202, Oakland, CA 94607
Mailing Address
212 9th Street Suite 202, Oakland, CA 94607
Phone number
(510) 588-8000
Established
California since 01/17/2007
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
GILBERT, GREGORY BURTONPRESIDENT, CHIEF COMPLIANCE OFFICER, SROP/CROP, MUNICIPAL PRINCIPAL3119457
PALICA, ANETA MARTAFINOP7948716

Disclosures

Regulatory Event3

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.

Company Information

INFINITY FINANCIAL SERVICES

CRD#: 144302

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