William R. Weldon
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 Roy Weldon was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1976. William had worked at 7 firms and has passed the Series 63, SIE, Series 5, Series 7 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
August 7, 2013 - November 30, 2015
ESSEX RADEZ LLC
October 5, 2010 - September 7, 2011
ELEVATION, LLC
February 17, 2010 - September 29, 2010
JEFFERIES BACHE SECURITIES, LLC
June 22, 2005 - February 25, 2010
ADVANTAGE SECURITIES LLC
July 18, 1988 - July 9, 2003
BARCLAYS CAPITAL INC.
March 13, 1981 - June 6, 1988
KIDDER, PEABODY & CO. INCORPORATED
December 1, 1976 - May 1, 1980
NUVEEN SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/19/1981
Interest Rate Options ExaminationCurrent Firm
ESSEX RADEZ LLC
CRD#: 34649 / SEC#: , 8-45175
Contact information
Documents
Disclosures
| Regulatory Event | 25 |
Red Flags
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