William Arthur Carey
Professional Summary
William Arthur Carey, who also goes by William A Carey, was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1981 - 2005. William had worked at 9 firms and has passed the Series 63, Series 5, Series 7, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
William A Carey
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
MIDSOUTH CAPITAL, INC.
Contact Information
Established
South Carolina since 09/10/1993Firm Type
CorporationFiscal Year End
DecemberDocuments
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
6Arbitration
1Bond
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Sep 1981Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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