William V. Gillies
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 Vincent Gillies, who also goes by Bill Gillies, William VIncent Matthew Gillies Jr, William Vincent Matthew Gillies, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1980. William had worked at 5 firms and has passed the Series 63, 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
July 25, 2017 - November 14, 2018
FIVE 9 SECURITIES, LLC
June 14, 2012 - September 23, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 15, 2009 - July 29, 2010
BTIG, LLC
July 29, 2008 - July 16, 2009
FOX CHASE CAPITAL PARTNERS, LLC
October 20, 2004 - August 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 1980 - August 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
FIVE 9 SECURITIES, LLC
CRD#: 114853 / SEC#: , 8-53442
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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