William C. Davis
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 Cole Davis, who also goes by Bill Cole Davis Jr, Bill Davis Jr, William Cole Davis Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 3 firms and has passed the Series 63, Series 65, Series 7, Series 15, Series 5 and Series 8 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, 2012 - June 30, 2014
DUPREE & COMPANY, INC.
October 4, 1993 - August 23, 2000
CITIGROUP GLOBAL MARKETS INC.
February 23, 1981 - October 5, 1993
THE ROBINSON-HUMPHREY COMPANY, LLC
Primary Firm SEC Registration
DUPREE & COMPANY, INC.
CRD#: 1697 / SEC#: 801-13157, 8-10938
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 15
Date: 1/19/1987
Foreign Currency Options ExaminationSeries 5
Date: 11/17/1986
Interest Rate Options ExaminationSeries 8
Date: 9/1/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DUPREE & COMPANY, INC.
CRD#: 1697 / SEC#: 801-13157, 8-10938
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRIMES, LAMAR DUPREE | SHAREHOLDER, DIRECTOR | 1741495 |
| COMBS, HUSTON BARROW | VICE PRESIDENT | 2918837 |
| DRAGOO, MICHELLE MARIE | VICE PRESIDENT, SECRETARY, TREASURER | 1637435 |
| GRIMES, III, ALLEN EVANS MR. | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF LEGAL OFFICER, FINANCIAL PRINCIPAL, SHAREHOLDER, DIRECTOR | 4890647 |
| HARRISON, VINCENT HENRY | VICE PRESIDENT | 2469232 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 956,478,786 |
Disclosures
| Regulatory Event | 2 |
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.
