William R. Crist
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 Ross Crist, who also goes by William Ross Crist, William Crist, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 11 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2020 - December 16, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 28, 2020 - December 16, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2017 - December 11, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2017 - December 11, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 19, 2013 - March 20, 2015
CALAMOS WEALTH MANAGEMENT LLC
January 14, 2013 - March 20, 2015
CALAMOS FINANCIAL SERVICES LLC
March 8, 2004 - May 1, 2006
OCM INVESTMENTS, LLC
January 29, 1999 - April 5, 2001
LEGG MASON WOOD WALKER, INCORPORATED
September 1, 1997 - March 1, 1999
DB ALEX. BROWN LLC
May 31, 1991 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
June 11, 1987 - June 28, 1991
FIRST UNION CAPITAL MARKETS CORP.
December 10, 1986 - June 23, 1987
DREYFUS INVESTMENT SERVICES COMPANY, LLC
October 2, 1984 - July 22, 1985
KIDDER, PEABODY & CO. INCORPORATED
March 6, 1984 - October 19, 1984
E. F. HUTTON & COMPANY INC
September 21, 1981 - February 21, 1984
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 8
Date: 12/16/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
