William J. Shanbrom
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 Jeffrey Shanbrom was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1977. William had worked at 9 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2016 - November 15, 2018
SECURITIES AMERICA, INC.
April 20, 2015 - December 8, 2016
FOOTHILL SECURITIES, INC.
September 4, 2009 - April 29, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 23, 1998 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
November 29, 1993 - December 31, 1998
FIRST PRIORITY INVESTMENT CORPORATION
November 2, 1981 - April 26, 1994
GREEN HILL FINANCIAL SERVICE CORPORATION
July 6, 1977 - July 11, 1981
AMERIPRISE FINANCIAL SERVICES, LLC
July 6, 1977 - September 15, 1981
AMERICAN EXPRESS FINANCIAL CORPORATION
July 6, 1977 - September 15, 1981
IDS LIFE INSURANCE COMPANY
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 1
Date: 6/27/1977
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
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