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WC

William P. Carroll

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CRD#: 874002
WC

Professional summary

William Pierce Carroll was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1979. Prior to being barred, William had worked at 7 firms, which includes SPELMAN & CO. INC., FIRST AFFILIATED SECURITIES, PFG SECURITIES INC., MOSELEY SECURITIES CORPORATION, UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

William P Carroll

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 13, 1989 - April 17, 1995

SPELMAN & CO., INC.

BD
CRD#: 10232
PHOENIX, AZ
Past

August 25, 1989 - December 6, 1989

FIRST AFFILIATED SECURITIES

BD
CRD#: 23737
LA JOLLA, CA
Past

August 12, 1987 - August 25, 1989

PFG SECURITIES, INC.

BD
CRD#: 15401
Past

June 3, 1986 - July 28, 1987

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

April 7, 1983 - May 16, 1986

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 7, 1982 - April 18, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

November 23, 1979 - January 19, 1982

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/30/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/18/1982
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 12/1/1981
NYSE Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/15/1981
General Securities Principal Examination

Current Firm

S&
SPELMAN & CO., INC.
SPELMAN & CO INC | SPELMAN & CO., INCORPORATED | SPELMAN & CO., INC.

CRD#: 10232 / SEC#: , 8-26811

BD
Cancelled by SEC on 02/25/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 08/17/1981
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AIG ADVISOR GROUP, INC.OWNER
BOURDAMIS, SALLY HANSONVICE PRESIDENT, BROKERAGE SERVICES1812157
CANNON, JAMES RICHARDPRESIDENT,CEO,DIRECTOR1755987
CAPRIOTTI, JACQUELYN MARIEVICE PRESIDENT, VISION 20201575021
CAVANAUGH, MARY LOUISEDIRECTOR1977110
DENBY, SUSANNE MARIEVICE PRESIDENT, CHIEF COMPLIANCE OFFICER2617514
DORFMAN, KENNETH PAULCROP2460380
FIELDS, INGER WILSONFINOP1690043
FREEMAN, BRUCE TODDASSOCIATE VICE PRESIDENT, MUNICIPAL PRINCIPAL2451499
GAUGHAN, BRIDGET MARYEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY2691949
GAUGHAN, BRIDGET MARYDIRECTOR2691949
KUBICA, LISA SUEEXECUTIVE VICE PRESIDENT, SROP, MP1098488
MCREYNOLDS, MICHAEL RONALDASSISTANT VICE PRESIDENT, INSURANCE816602
PARKER, RALPH JOELASSISTANT VICE PRESIDENT, INSURANCE2587496
RADFORD, CHRISTOPHER BLAKESENIOR VICE PRESIDENT, NATIONAL SALES1564302
ROTHSTEIN, STEVEN ELLIOTDIRECTOR1292456
ROTHSTEIN, STEVEN ELLIOTEXECUTIVE VICE PRESIDENT, CFO/TREASURER1292456
SONCHIK, RITA LYNNVICE PRESIDENT, ACCOUNTING1865389
STAUFFER, RALPH OWEN JRVICE PRESIDENT, INFORMATION TECHNOLOGY3255670

Disclosures

Regulatory Event8
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SPELMAN & CO., INC.

CRD#: 10232

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