William K. Cantrell
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 Key Cantrell, who also goes by Bill Cantrell, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1975. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2009 - June 24, 2015
ASG SECURITIES, INC.
July 31, 2008 - August 19, 2009
RICHAVE FINANCIAL, INC.
February 27, 2008 - May 9, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
February 25, 2008 - May 9, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 16, 2006 - December 7, 2007
MISSION SECURITIES CORPORATION
September 28, 2005 - May 30, 2006
ASG SECURITIES, INC.
June 21, 2004 - September 21, 2005
MIDAS SECURITIES, LLC
August 21, 2001 - December 3, 2002
CHICAGO INVESTMENT GROUP, LLC
October 16, 2000 - August 7, 2001
CAMDEN SECURITIES, INC.
July 19, 1999 - April 28, 2000
TRAVIS MORGAN SECURITIES INC.
August 7, 1998 - June 21, 1999
SUNPOINT SECURITIES, INC.
April 28, 1998 - July 24, 1998
LUMIERE SECURITIES, INC.
November 25, 1997 - February 19, 1998
FLETCHER AND FARADAY, INC.
March 7, 1996 - January 17, 1997
THE CAMELOT GROUP, INC.
May 13, 1994 - October 17, 1994
GREAT AMERICAN SECURITIES INC.
October 19, 1993 - February 14, 1994
WASHINGTON CIRCLE SECURITIES CORPORATION
July 17, 1990 - April 19, 1991
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 5, 1990 - February 13, 1995
CARTWRIGHT AND WALKER SECURITIES, INCORPORATED
September 12, 1989 - July 25, 1991
LUTHER, SMITH & SMALL, INC.
May 18, 1987 - November 25, 1987
FROLEY, REVY ASSET TRADERS, INC.
October 24, 1984 - December 12, 1984
R.E. SECURITIES, INC.
August 25, 1975 - February 3, 1978
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 25, 1975 - February 3, 1978
OSAIC FA, INC.
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 1
Date: 8/18/1975
Registered Representative ExaminationCurrent Firm
ASG SECURITIES, INC.
CRD#: 44534 / SEC#: , 8-50730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FUGLER, MICHAEL ROY | VICE CHAIRMAN | 2947789 |
| VP PERFORMANCE TRUST | SHAREHOLDER | |
| CANTRELL, WILLIAM KEY | EVP CCO | 811596 |
| DEPELISI, JAMES | EVP COO | 2339793 |
| FISCHER, KAREN ZILLIA | FIN OP | 1708090 |
| LDV CONSULTING, INC. | SHAREHOLDER | |
| ROBINSON, WILLIAM CARL | TRUSTEE, VPPT | |
| SCILLIA, MICHAEL VINCENT | DIRECTOR, CHAIRMAN, FINRA EXECUTIVE REPRESENTATIVE | 416774 |
Disclosures
| Regulatory Event | 2 |
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.
