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William Key Cantrell

CRD# 811596·Registered 1975 - 2015
Previously Registered: Being a previously registered professional could mean that William 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.

Professional Summary

William Key Cantrell, who also goes by Bill Cantrell, was a registered financial advisor. William was a previously registered financial advisor and started their career in finance 1975 - 2015. William had worked at 21 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 22, Series 1, Series 53, Series 4, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Bill Cantrell

Blog Corner

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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

51 years in the financial services industry

Current & Past Employments

ASG SECURITIES, INC.·CRD# 44534
BD
Ft. Lauderdale, FL
December 22, 2009 - June 24, 2015
RICHAVE FINANCIAL, INC.·CRD# 36782
BD
Monterey Park, CA
July 31, 2008 - August 19, 2009
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
RIA
Corona, CA
February 27, 2008 - May 9, 2008
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Corona, CA
February 25, 2008 - May 9, 2008
MISSION SECURITIES CORPORATION·CRD# 41779
BD
Los Angeles, CA
August 16, 2006 - December 7, 2007
ASG SECURITIES, INC.·CRD# 44534
BD
Ft. Lauderdale, FL
September 28, 2005 - May 30, 2006
MIDAS SECURITIES, LLC·CRD# 103680
BD
Anaheim, CA
June 21, 2004 - September 21, 2005
CHICAGO INVESTMENT GROUP, LLC·CRD# 11853
BD
Chicago, IL
August 21, 2001 - December 3, 2002
CAMDEN SECURITIES, INC.·CRD# 18305
BD
Los Angeles, CA
October 16, 2000 - August 7, 2001
TRAVIS MORGAN SECURITIES INC.·CRD# 29088
BD
Dallas, TX
July 19, 1999 - April 28, 2000
SUNPOINT SECURITIES, INC.·CRD# 25442
BD
Longview, TX
August 7, 1998 - June 21, 1999
LUMIERE SECURITIES, INC.·CRD# 13414
BD
Denver, CO
April 28, 1998 - July 24, 1998
FLETCHER AND FARADAY, INC.·CRD# 29769
BD
Hempstead, NY
November 25, 1997 - February 19, 1998
THE CAMELOT GROUP, INC.·CRD# 31091
BD
Ft Lauderdale, FL
March 7, 1996 - January 17, 1997
GREAT AMERICAN SECURITIES INC.·CRD# 7504
BD
May 13, 1994 - October 17, 1994
WASHINGTON CIRCLE SECURITIES CORPORATION·CRD# 34041
BD
Marina Del Rey, CA
October 19, 1993 - February 14, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC·CRD# 11025
BD
St. Louis, MO
July 17, 1990 - April 19, 1991
CARTWRIGHT AND WALKER SECURITIES, INCORPORATED·CRD# 23504
BD
Los Angeles, CA
February 5, 1990 - February 13, 1995
LUTHER, SMITH & SMALL, INC.·CRD# 11095
BD
September 12, 1989 - July 25, 1991
FROLEY, REVY ASSET TRADERS, INC.·CRD# 18357
BD
May 18, 1987 - November 25, 1987
R.E. SECURITIES, INC.·CRD# 10895
BD
October 24, 1984 - December 12, 1984
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY·CRD# 2580
BD
August 25, 1975 - February 3, 1978
OSAIC FA, INC.·CRD# 3978
BD
August 25, 1975 - February 3, 1978

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Current Firm

AS
ASG SECURITIES, INC.

ANPAC SECURITIES GROUP | ASG SECURITIES, INC. | ASG SECURITIES GROUP, INC. | ANPAC SECURITIES GROUP, INC.

CRD#: 44534 / SEC#: 8-50730
BD
Cancelled by SEC on 10/26/2016

Contact Information

Established

Florida since 02/13/2004

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
FUGLER, MICHAEL ROYVICE CHAIRMAN2947789
VP PERFORMANCE TRUSTSHAREHOLDER—
CANTRELL, WILLIAM KEYEVP CCO811596
DEPELISI, JAMESEVP COO2339793
FISCHER, KAREN ZILLIAFIN OP1708090
LDV CONSULTING, INC.SHAREHOLDER—
ROBINSON, WILLIAM CARLTRUSTEE, VPPT—
SCILLIA, MICHAEL VINCENTDIRECTOR, CHAIRMAN, FINRA EXECUTIVE REPRESENTATIVE416774

Disclosures

Regulatory Event

2

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1991About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jun 2015About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Oct 1993About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Mar 1987About the Series 7 exam

Series 22 — Direct Participation Programs Representative Examination

Passed Oct 1984About the Series 22 exam

Series 1 — Registered Representative Examination

Passed Aug 1975

Series 53 — Municipal Securities Principal Examination

Passed Jun 1989About the Series 53 exam

Series 4 — Registered Options Principal Examination

Passed Apr 1989About the Series 4 exam

Series 27 — Financial and Operations Principal Examination

Passed Apr 1989About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Mar 1989About the Series 24 exam

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CRS (Client Relationship Summary)

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

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