William F. Hall
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 Franklin Hall was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 4 firms and has passed the Series 63, Series 3, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 1998 - July 19, 2002
MUTUAL SECURITIES, INC.
March 9, 1995 - March 11, 1997
BROKERAGE ADMINISTRATORS CORPORATION
June 15, 1994 - June 13, 1995
MUTUAL SECURITIES, INC.
May 26, 1983 - February 24, 1992
HALL & COMPANY INCORPORATED
March 26, 1982 - July 30, 1984
REILLY SECURITIES, INC.
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
Current Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
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