William E. Linderman
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 Edward Linderman was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 5 firms and has passed the Series 63, Series 7, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 1985 - November 10, 1988
INVESTACORP, INC.
March 6, 1985 - June 27, 1985
SOUTHEASTERN BROKERAGE SERVICES, INC.
February 15, 1985 - August 20, 1986
STATE CAPITAL FINANCIAL SERVICES CORPORATION
January 18, 1983 - June 26, 1984
FIRST FLORIDA SECURITIES, INC.
September 16, 1982 - January 17, 1983
XANDU SECURITIES GROUP, INC.
March 23, 1981 - September 7, 1982
FIRST FLORIDA 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
Series 12
Date: 5/21/1983
NYSE Branch Manager ExaminationCurrent Firm
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 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.
