William J. Burke
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 Joseph Burke, who also goes by Chip Burke III, William Joseph Burke III, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1978. William had worked at 10 firms and has passed the Series 63, Series 55, Series 7, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2013 - November 27, 2013
WALL STREET ACCESS
January 25, 2010 - December 14, 2010
LABRANCHE FINANCIAL SERVICES, LLC
April 10, 2007 - March 21, 2011
LABRANCHE & CO. LLC
February 28, 2005 - November 10, 2011
TD ARRANGED SERVICES LLC
July 2, 2004 - October 31, 2007
LABRANCHE STRUCTURED PRODUCTS SPECIALISTS LLC
June 20, 2002 - September 12, 2007
LABRANCHE FINANCIAL SERVICES, LLC
March 1, 2001 - January 2, 2002
HENDERSON BROTHERS, INC.
December 9, 1999 - January 29, 2003
LABRANCHE & CO. LLC
June 23, 1995 - June 19, 1996
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
September 27, 1988 - November 5, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 1, 1984 - June 15, 1988
SALOMON BROTHERS INC.
February 1, 1978 - April 3, 1986
MAY & GANNON, 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
Series 55
Date: 4/10/2000
Limited Representative-Equity Trader ExamSeries 40
Date: 6/3/1978
Registered Principal ExaminationCurrent Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
