Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Stephen Socha is a financial advisor with Lombard Securities Inc. based in Baltimore, MD. William is a seasoned professional with over 40 years of experience in the financial industry. William holds a number of licenses and certifications, including the Series 4, 7, 9, 10, 24, 27, 53, 63, 66, 99TO and SIE exams. He is registered in 23 states. William's previous employers include Alex. Brown & Sons Incorporated, Johnston, Lemon & Co. Incorporated, Baker, Watts & Co., Inc., and Hereth, Orr & Jones, 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
MD
03/03/1997 - Present
Lombard Securities Inc. (BALTIMORE MD)
NA
09/25/1991 - 03/24/1997
ALEX. BROWN & SONS INCORPORATED
DC
10/28/1988 - 10/05/1989
JOHNSTON, LEMON & CO. INCORPORATED (WASHINGTON DC)
NA
07/22/1980 - 10/24/1988
BAKER, WATTS & CO., INC.
NA
06/11/1981 - 03/09/1982
HERETH, ORR & JONES, INC.
BOTH
Issued 11/06/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/30/1981
Series 63 - Uniform Securities Agent State Law Examination
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 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 06/15/2016
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/11/2001
Series 24 - General Securities Principal Examination
BC
Issued 06/05/1997
Series 27 - Financial and Operations Principal Examination
BC
Issued 03/27/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1981
Series 5 - Interest Rate Options Examination
BC
Issued 07/19/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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