William T. 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 Thomas Davis, who also goes by William T Davis, 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 65, Series 63, Series 5 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
November 19, 2020 - April 13, 2023
CABANA ASSET MANAGEMENT
May 6, 1991 - August 3, 1993
MORGAN STANLEY DW INC.
August 25, 1989 - May 21, 1991
PRUDENTIAL EQUITY GROUP, LLC
October 21, 1985 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
May 18, 1981 - October 22, 1985
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
CABANA ASSET MANAGEMENT
CRD#: 151418 / SEC#: 801-108439
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 5
Date: 11/13/1981
Interest Rate Options ExaminationCurrent Firm
CABANA ASSET MANAGEMENT
CRD#: 151418 / SEC#: 801-108439
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 425 |
| AUM (Assets Under Management) | $ 576,705,000 |
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.
