William D. White
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 David White was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1975. William had worked at 4 firms and has passed the Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 1992 - December 15, 1995
PACIFIC HARBOR SECURITIES, INC.
April 19, 1989 - March 5, 1990
SYDNEY CAPITAL MANAGEMENT, INC.
October 27, 1976 - March 8, 1989
EQUITEC SECURITIES COMPANY
October 23, 1975 - September 9, 1976
DEAN WITTER & 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
Series 40
Date: 1/27/1977
Registered Principal ExaminationCurrent Firm
PACIFIC HARBOR SECURITIES, INC.
CRD#: 8755 / SEC#: , 8-26127
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
Red Flags
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