William K. Goldsmith
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 Key Moors Goldsmith, who also goes by William Keymoors Goldsmith, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1977. William had worked at 4 firms and has passed the Series 63, Series 3, Series 5, Series 7, Series 4, 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 5, 2001 - December 31, 2007
NANTUCKET SECURITIES COMPANY, LLC
January 28, 1995 - December 3, 1999
UBS FINANCIAL SERVICES INC.
June 5, 1990 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
December 5, 1977 - June 13, 1990
GOLDMAN SACHS & CO. 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 5
Date: 8/10/1983
Interest Rate Options ExaminationSeries 8
Date: 1/29/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NANTUCKET SECURITIES COMPANY, LLC
CRD#: 112318 / SEC#: , 8-53234
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOLDSMITH, WILLIAM KEY MOORS | GENERAL SECURITIES PRINCIPAL & CEO | 846124 |
| ALFONSI, JOHN THOMAS | TRUSTEE OF MARISA K GOLDSMITH TRUST UAD 8/13/02 | |
| MARISA KATE GOLDSMITH TRUST UAD 8/13/02 | INVESTOR | |
| GREENSTONE, ELIZABETH A REV TRUST UAD 5/1/98 | INVESTOR | |
| GREENSTONE, ELIZABETH ANN | CCO AND GENERAL SECURITIES PRINCIPAL | 2556722 |
| GREENSTONE, ELIZABETH ANN | TRUSTEE OF ELIZABETH A GREENSTONE TRUST | |
| MANIACI, VIRGINIA MARIE | FINANCIAL & OPERATIONS PRINCIPAL | 4692195 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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