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Detailed Report
WILLIAM CHARLES STANTON III
WILLIAM CHARLES STANTON
CRD#: 2785118
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 61 SOUTH PARAMUS ROAD
MACK CENTER IV
PARAMUS, NJ 07652
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2006 (<1 year)2 FIRMS2007 - 2008 (1 year)2 FIRMS2021 - Present (3 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2008 - 2021 (12 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2021 - 2021 (<1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2008 - 2012 (3 years)IAERNST & YOUNG INVESTMENT ADVIS... (CRD# 110921)1998 - 2005 (7 years)
License(s)

State Registrations

B
California 7/28/2021
B
New York 7/28/2021
B
Connecticut 7/28/2021
IA
New York 11/1/2021
B
Florida 7/28/2021
B
North Carolina 7/28/2021
B
Illinois 7/28/2021
B
Ohio 7/28/2021
B
Massachusetts 7/28/2021
B
Pennsylvania 7/28/2021
B
Michigan 2/15/2022
B
South Carolina 7/28/2021
B
New Jersey 7/28/2021
B
Texas 12/16/2024
IA
New Jersey 8/6/2021

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, 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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
61 SOUTH PARAMUS ROAD MACK CENTER IV, PARAMUS, NJ 07652
1285 AVENUE OF THE AMERICAS 15 THRU 18TH FLOORS, NEW YORK, NY 10019
Registered with this firm since 8/6/2021
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
61 SOUTH PARAMUS ROAD MACK CENTER IV, PARAMUS, NJ 07652
1285 AVENUE OF THE AMERICAS 15 THRU 18TH FLOORS, NEW YORK, NY 10019
Registered with this firm since 7/28/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/02/2021 - 08/03/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) New Hyde Park, NY
B
 10/01/2008 - 08/03/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) New Hyde Park, NY
IA
 10/01/2008 - 05/15/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) New Hyde Park, NY
IA
 09/06/2007 - 10/01/2008 J. P. MORGAN SECURITIES INC. (CRD#:18718) NEW YORK, NY
B
 09/06/2007 - 10/01/2008 J.P. MORGAN SECURITIES INC. (CRD#:18718) NEW YORK, NY
IA
 10/11/2005 - 06/20/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NEW YORK, NY
B
 11/23/2005 - 06/20/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NEW YORK, NY
IA
 03/31/1998 - 04/14/2005 ERNST & YOUNG INVESTMENT ADVISERS LLP (CRD#:110921) 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.