William Pluto
Professional Summary
William Pluto, who also goes by Bill Pluto, was a registered financial advisor. William was a previously registered financial professional and started their career in finance 2022 - 2026. William had worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bill Pluto
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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
4 years in the financial services industry
Current & Past Employments
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Current Firm
ARNHOLD AND S. BLEICHROEDER, INC | NATIXIS SECURITIES AMERICAS LLC | NATIXIS BLEICHROEDER LLC | NATIXIS BLEICHROEDER INC. | NATEXIS BLEICHROEDER INC. | ARNHOLD AND S. BLEICHROEDER, INC.
Contact Information
Main Address
1251 Avenue Of The Americas 5th Floor, New York, NY, 10020Mailing Address
1251 Avenue Of The Americas 5th Floor, New York, NY 10020Phone Number
(212) 872-5000Established
Delaware since 11/01/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | — |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| FARRELL, JOHN | PRINCIPAL OPERATIONS OFFICER | 5996161 |
| ISSANCHOU, EMMANUEL | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MAO, YUAN-PEI | CHIEF COMPLIANCE OFFICER | 1288447 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| PUGET, THOMAS CHRISTOPHE | DIRECTOR ON BOARD OFDIRECTORS | 8330201 |
| ROSE, ZACHARY ELI | CO-HEAD OF GLOBAL MARKETS AMERICAS | 4813725 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
| SOURIGON, SIMON | CO-HEAD OF GLOBAL MARKETS AMERICAS | 7192582 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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 79TO — Investment Banking Registered Representative Examination
Passed Apr 2022About the Series 79TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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