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WILLIAM THOMAS MARSHALL
WILLIAM MARSHALL
CRD#: 5663491
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 55 EAST LOOP ROAD
SUITE 101
WHEATON, IL 60189
SUITE 101
WHEATON, IL 60189
0
Disclosures
14
Years of Experience
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State Registrations
B
Alabama 5/20/2021
B
Michigan 7/12/2018
B
Arkansas 3/11/2021
B
Missouri 3/3/2023
B
California 7/12/2017
B
New Jersey 4/28/2023
B
Colorado 7/27/2021
B
New York 1/29/2025
B
Connecticut 7/6/2021
B
North Carolina 8/19/2020
B
District of Columbia 3/25/2025
B
Oregon 2/9/2023
B
Florida 7/12/2018
B
Pennsylvania 4/29/2021
B
Illinois 8/24/2016
B
Tennessee 8/17/2023
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Illinois 9/7/2016
B
Virginia 10/26/2023
B
Indiana 5/30/2017
B
Washington 8/25/2022
B
Iowa 6/12/2024
B
Wisconsin 7/21/2020
SRO Registrations
B
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IA
Registered with this firm since 9/7/2016
B
Registered with this firm since 8/24/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/21/2014 - 08/16/2016 | CHICAGO, IL | |
B | 10/08/2009 - 08/21/2013 | CHICAGO, IL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.