Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Joseph Rotholz is a registered representative with Buckman, Buckman & Reid, Inc. William has been in the securities industry since December 11, 1985. William has passed the Series 7, Series 8, Series 14, Series 24, Series 79TO, and SIE exams. William is currently registered with FINRA. William's previous employers include Duke & Co., Inc. and Oppenheimer & Co., Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NJ
04/07/1999 - Present
Buckman, Buckman & Reid, Inc. (little silver NJ)
NY
01/29/1996 - 04/24/1998
DUKE & CO., INC. (NEW YORK NY)
NY
11/21/1984 - 12/20/1995
OPPENHEIMER & CO., INC. (NEW YORK NY)
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/02/1999
Series 24 - General Securities Principal Examination
BC
Issued 03/25/1994
Series 14 - Compliance Officer Examination
BC
Issued 05/23/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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