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WS

William H. Sword

Some features on this profile are disabled
CRD#: 827784
WS

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 Harris Sword, who also goes by Bill Sword Jr., was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1976. William had worked at 3 firms and has passed the Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Sword Jr.

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 9, 1993 - March 4, 2013

STOCK SECURITIES LLC

BD
CRD#: 32244
PRINCETON, NJ
Past

January 25, 1991 - April 1, 1991

EACM SECURITIES INC.

BD
CRD#: 19298
NORWALK, CT
Past

September 23, 1976 - January 7, 1993

WM SWORD & CO. INCORPORATED

BD
CRD#: 7122

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 9/18/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/28/1990
General Securities Principal Examination

Current Firm

SS
STOCK SECURITIES LLC
STOCK SECURITIES LLC | SWORD SECURITIES LLC | SWORD SECURITIES CORPORATION

CRD#: 32244 / SEC#: , 8-45650

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
201 Tresser Boulevard Suite 345, Stamford, CT 06901-3435
Mailing Address
886 Patterson Avenue, New York, NY 10306
Phone number
(203) 595-4546
Established
Delaware since 07/31/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FFP AFFILIATES IV, LLCPARENT COMPANY
BARENBOIM, LEONARDCHIEF COMPLIANCE OFFICER1523181
CAMISA, KATHLEENFINOP, CHIEF FINANCIAL OFFICER3239619
STOCK, KEITHCHIEF EXECUTIVE OFFICER6141019

Disclosures

Regulatory Event2

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.

Company Information

STOCK SECURITIES LLC

CRD#: 32244

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