William H. James
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 Henry James III, who also goes by William Henry James Jr, William Henry James, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1977. William had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 5, Series 7, PC, Series 53 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
March 17, 2014 - March 19, 2018
MUFG SECURITIES AMERICAS INC.
March 18, 2008 - March 11, 2014
FM PARTNERS HOLDINGS LLC
May 5, 2005 - February 22, 2007
FM PARTNERS HOLDINGS LLC
March 6, 2002 - March 14, 2002
CREDIT AGRICOLE SECURITIES (USA) INC.
January 31, 1991 - May 10, 2005
LAZARD FRERES & CO. LLC
June 1, 1977 - January 11, 1991
CREDIT SUISSE SECURITIES (USA) LLC
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 55
Date: 8/9/2010
Limited Representative-Equity Trader ExamSeries 5
Date: 10/15/1981
Interest Rate Options ExaminationPC
Date: 5/1/1977
AMEX Put and Call ExamCurrent Firm
MUFG SECURITIES AMERICAS INC.
CRD#: 19685 / SEC#: , 8-43026
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | DIRECT OWNER | |
| AULETTA, CHRISTOPHER THOMAS | CHIEF COMPLIANCE OFFICER | 4779644 |
| GREEN, CHARLES ERWIN JR | INTERNATIONAL CHIEF RISK OFFICER | 2939574 |
| GUNN, BRIAN | OUTSIDE DIRECTOR | 7453790 |
| KOMORIYA, MASATOSHI | OUTSIDE DIRECTOR | 8066085 |
| LINDENBERG, JONATHAN BLAKE | OUTSIDE DIRECTOR | 2430463 |
| MCHUGH, DENIS TIMOTHY | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1909225 |
| MILKMAN, PAUL DAVID | CHIEF INFORMATION SECURITY OFFICER | 1564708 |
| MIYAMOTO, SHIRO | BOARD MEMBER | 8205719 |
| MORREALE, MONIQUE LILLIAN | GENERAL COUNSEL | 8184893 |
| NAKAO, TOSHIO | BOARD MEMBER | 8205734 |
| RADCLIFFE, ALEXANDER HUGH JOSEPH | CHIEF FINANCIAL OFFICER | 7595877 |
| THUMSER, MARK CHRISTOPHER | BOARD MEMBER | 4759143 |
| YARIAN, MICHAEL JAMES | INTERNATIONAL BUSINESS HEAD OF SALES & TRADING | 2504162 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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