William D. Robertson
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 Douglas Robertson, who also goes by Bill Robertson, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 18, Series 7 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
September 28, 1999 - January 9, 2025
GUZMAN & COMPANY
July 7, 1998 - September 15, 1999
GILFORD SECURITIES INCORPORATED
June 16, 1994 - July 17, 1995
TUCKER ANTHONY INCORPORATED
October 26, 1990 - May 11, 1994
HSBC BROKERAGE (USA) INC.
November 6, 1989 - December 14, 1990
CM&M FUTURES INC.
November 6, 1989 - April 29, 1994
HSBC SECURITIES (USA) INC.
October 15, 1987 - May 23, 1989
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
June 9, 1982 - October 13, 1987
ROTAN MOSLE 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 18
Date: 12/18/1982
Securities Industry Rules and Regulations ExaminationCurrent Firm
GUZMAN & COMPANY
CRD#: 21013 / SEC#: , 8-38646
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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