William Samuel Schroeder
Professional Summary
William Samuel Schroeder was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1975 - 2004. William had worked at 5 firms and has passed the Series 65, Series 63, PC and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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
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Current Firm
LEGG MASON WOOD WALKER INC | LEGG MASON WOOD WALKER, INCORPORATED
Contact Information
Established
Maryland since 06/15/1970Firm Type
CorporationFiscal Year End
MarchDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP GLOBAL MARKETS HOLDINGS INC. | OWNER | — |
| HESSLEIN, LAURIE ANN | DIRECTOR | 1158755 |
| MORRIS, JOHN CHURCHILL | DIRECTOR | 734315 |
| MORRIS, JOHN CHURCHILL | CHIEF OPERATION OFFICER | 734315 |
| PEARL, JONATHAN MARK | SENIOR REGISTERED OPTION PRINCIPAL | 839718 |
| PROCOPIO, ROCCO JR | COMPLIANCE REGISTERED OPTION PRINCIPAL | 2663616 |
| SABELHAUS, ROBERT GREGORY | CHIEF EXECUTIVE OFFICER & PRESIDENT | 408581 |
| VERRON, CLIFF | CHIEF FINANCIAL OFFICER/TREASURER | 4332129 |
| WEAVER, BARBARA LITTLE | CHIEF COMPLIANCE OFFICER | 845541 |
Disclosures
Regulatory Event
26Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Feb 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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