William A. Carey
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 Arthur Carey, who also goes by William A Carey, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 9 firms and has passed the Series 63, Series 5, Series 7, Series 4 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
December 3, 2003 - December 1, 2005
MIDSOUTH CAPITAL, INC.
February 25, 1998 - December 8, 2003
FIRST SECURITY INVESTMENTS, INC.
December 9, 1991 - March 2, 1998
MEYERS POLLOCK ROBBINS, INC.
August 14, 1991 - December 9, 1991
KC MAY SECURITIES CORP.
December 19, 1990 - August 7, 1991
JESUP & LAMONT SECURITIES CO., INC.
July 29, 1987 - November 23, 1990
OCEAN SECURITIES CORPORATION
March 19, 1986 - June 26, 1987
NORTH COUNTRY SECURITIES, LTD.
February 6, 1984 - September 5, 1985
HAPOALIM SECURITIES USA, INC.
June 23, 1981 - October 28, 1983
JII 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 5
Date: 9/25/1981
Interest Rate Options ExaminationCurrent Firm
MIDSOUTH CAPITAL, INC.
CRD#: 35039 / SEC#: , 8-46620
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILL, MARK DAVID | CHAIRMAN, BOARD MEMBER, AND SHAREHOLDER | 1056054 |
| CAMPBELL, CYNTHIA H | BOARD MEMBER | |
| HILL, EDWARD DAVID JR | SHAREHOLDER | |
| HILL, ROBIN | SHAREHOLDER | |
| JAMA HOLDINGS | SHAREHOLDER | |
| BATEH, RONALD JAMES | PRESIDENT, CEO, RIA CCO, BOARD MEMBER, SHAREHOLDER | 869380 |
| BRUSH, EDWARD | BOARD MEMBER | |
| MURRAY, SANDRA ANN | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 1407964 |
| ROYSTER, COLLIN HARDING | REGISTERED PRINCIPAL | 843043 |
| VOOS, VIRGINIA LAWRENCE | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| 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.
