William E. Laverty
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 Edward Laverty, who also goes by William Laverty, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1975. William had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2019 - July 6, 2022
ACADEMY SECURITIES, INC.
January 30, 2017 - January 8, 2019
THE WILLIAMS CAPITAL GROUP, L.P.
March 19, 2009 - December 31, 2016
FIDELITY BROKERAGE SERVICES LLC
March 16, 2009 - December 31, 2016
NATIONAL FINANCIAL SERVICES LLC
August 5, 2008 - March 2, 2009
STERNE, AGEE & LEACH, INC.
April 26, 2004 - August 14, 2007
BANC OF AMERICA SECURITIES LLC
May 1, 2001 - April 20, 2004
J.P. MORGAN SECURITIES INC.
May 13, 1997 - May 1, 2001
JPMSI
May 31, 1995 - May 1, 1997
REINOSO & COMPANY, INCORPORATED
April 6, 1992 - March 6, 1995
WILLIAM E. SIMON & SONS MUNICIPAL SECURITIES, INC.
October 8, 1984 - April 7, 1992
SBC WARBURG DILLON READ INC.
September 26, 1978 - October 17, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Current Firm
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (38 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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