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WE

William H. Edwards

Some features on this profile are disabled
CRD#: 75965
WE

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 Henry Edwards was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1973. William had worked at 11 firms and has passed the PC, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 27, 2009 - May 3, 2012

CHAPDELAINE TULLETT PREBON, LLC

BD
CRD#: 7017
NEW YORK, NY
Past

May 3, 1999 - October 17, 2008

HILLIARD FARBER SECURITIES CORP.

BD
CRD#: 18504
NEW YORK, NY
Past

July 29, 1998 - October 17, 2008

DEALERWEB LLC

BD
CRD#: 19662
NEW YORK, NY
Past

August 22, 1996 - April 30, 1998

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

BD
CRD#: 824
NEW YORK, NY
Past

April 1, 1996 - August 26, 1996

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

May 24, 1994 - April 1, 1996

CHASE SECURITIES, INC.

BD
CRD#: 10793
NEW YORK, MD
Past

November 8, 1988 - June 7, 1994

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655
Past

June 25, 1979 - June 7, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 18, 1978 - June 25, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

BD
CRD#: 7502
Past

April 16, 1973 - January 4, 1977

LOEB, RHOADES & CO. INC.

BD
CRD#: 525

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
PC
Date: 9/7/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 1/25/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/4/1997
General Securities Principal Examination

Current Firm

CT
CHAPDELAINE TULLETT PREBON, LLC
CHAPDELAINE & CO. | CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017 / SEC#: , 8-29620

BD
Terminated by SEC on 08/11/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/11/2012
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TULLETT PREBON AMERICAS CORP.SOLE MEMBER
ABULARRAGE, JOHN JOSEPHCHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER3265633
CURRIE, JULIAN HOWARDCONTROLLER/FINOP4337579
LYNCH, MARTINCHIEF OPERATING OFFICER5612726
PEZEU, CHRISTIAN JEAN MICHELCHIEF FINANCIAL OFFICER5661987

Disclosures

Regulatory Event5

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.

Company Information

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

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