William N. Lindsay
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 Neish Lindsay III, who also goes by Bill Lindsay, William Neish Lindsay, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 8 firms and has passed the Series 66, SIE and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2008 - May 10, 2016
LOCKTON INVESTMENT SECURITIES, LLC
December 13, 2005 - July 2, 2008
OSAIC SERVICES, INC.
January 1, 1999 - December 31, 2002
CETERA ADVISORS LLC
July 15, 1993 - December 20, 2005
CETERA ADVISORS LLC
January 14, 1992 - July 19, 1993
LEGEND CAPITAL CORPORATION
September 24, 1987 - December 31, 1991
OSAIC FS, INC.
June 19, 1983 - October 19, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
June 19, 1983 - November 30, 1987
AETNA FINANCIAL SERVICES, INC.
March 11, 1981 - March 4, 1982
SOUTHMARK FINANCIAL SERVICES, 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
Series 2
Date: 5/9/1973
Non-Member General Securities ExaminationCurrent Firm
LOCKTON INVESTMENT SECURITIES, LLC
CRD#: 137476 / SEC#: , 8-67090
Contact information
FINRA licenses (52 States and Territories)
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.
