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Detailed Report
WILLIAM ZEALY
WILLIAM WALLACE ZEALY
CRD#: 1246914
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 633 BERCKMAN ROAD
AUGUSTA, GA 30909
Registration History
1985199019952000200520102015202020252 FIRMS2009 - Present (15 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - 2009 (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1993 - 2002 (9 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1984 - 1990 (6 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2003 - 2009 (6 years)
License(s)

State Registrations

B
Alabama 3/13/2020
B
North Carolina 8/14/2009
B
Arizona 9/15/2022
B
Oklahoma 2/1/2018
B
Colorado 8/14/2009
B
South Carolina 8/14/2009
B
Delaware 12/8/2023
B
Tennessee 4/5/2019
B
Florida 8/14/2009
IA
Texas 8/14/2009
B
Georgia 8/14/2009
B
Texas 10/26/2017
IA
Georgia 8/14/2009
B
Virginia 8/22/2016
B
New York 2/3/2017

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
633 BERCKMAN ROAD, AUGUSTA, GA 30909
Registered with this firm since 8/14/2009
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
633 BERCKMAN ROAD, AUGUSTA, GA 30909
Registered with this firm since 8/14/2009
Previous Registration(s)
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IA
 01/17/2003 - 08/14/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) AUGUSTA, GA
B
 11/29/2002 - 08/14/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) AUGUSTA, GA
B
 02/12/1993 - 12/04/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 03/23/1984 - 07/02/1990 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.