William P. Willis
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 Pohn Willis, who also goes by William P Willis, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1977. William had worked at 7 firms and has passed the Series 65, Series 63, PC, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 1999 - July 3, 2000
ASSOCIATED SECURITIES CORP.
May 19, 1995 - July 9, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 1991 - May 19, 1995
SUTRO & CO. INCORPORATED
February 16, 1985 - April 30, 1991
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1985 - March 7, 1985
MORGAN STANLEY DW INC.
October 16, 1978 - January 17, 1983
J.P. MORGAN SECURITIES LLC
April 21, 1977 - November 17, 1978
E. F. HUTTON & COMPANY 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
PC
Date: 4/16/1977
AMEX Put and Call ExamSeries 8
Date: 2/27/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ASSOCIATED SECURITIES CORP.
CRD#: 12969 / SEC#: , 8-28568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED FINANCIAL GROUP, INC. | HOLDING COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER | 1821773 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VALTAIRO, PHILLIP BUHAY | VICE PRESIDENT AND CFO, AFFILIATED BROKER-DEALER CONTROLLER | 4481362 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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