William A. Maddox
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 Addison Maddox III, who also goes by William Addison Maddox, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1978. William had worked at 4 firms and has passed the Series 63, Series 3, Series 5, Series 7, Series 53, Series 4, Series 27, 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
May 10, 1989 - July 16, 1998
ADDISON FINANCIAL SERVICES, INC.
July 12, 1988 - January 4, 1989
AMOS-LEE SECURITIES, INC.
May 10, 1984 - October 13, 1987
E. F. HUTTON & COMPANY INC
March 23, 1978 - May 29, 1984
CITIGROUP GLOBAL MARKETS 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 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 8
Date: 1/16/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ADDISON FINANCIAL SERVICES, INC.
CRD#: 23746 / SEC#: , 8-40716
Contact information
Documents
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.
