William G. Carver
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 Gordon Carver was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1975. William had worked at 6 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 1986 - July 25, 1989
LEGEND CAPITAL CORPORATION
April 7, 1983 - October 2, 1986
PFS INVESTMENTS INC.
January 7, 1976 - April 7, 1983
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 7, 1976 - April 7, 1983
SIGNATOR INVESTORS, INC.
September 23, 1975 - January 6, 1976
NYLIFE SECURITIES LLC
May 22, 1975 - September 15, 1975
BACHE & CO INCORPORATED
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
Current Firm
LEGEND CAPITAL CORPORATION
CRD#: 4149 / SEC#: , 8-14834
Contact information
Documents
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.
