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To get your questions answered by Bill Carrigan, Securities Examiner and Investor Education Coordinator at the Vermont Securities Division, simply fill out the form. Or, click here to find answers to some of the most frequently asked questions.
Bill is a Securities Examiner with the Vermont Department of Banking, Insurance, Securities and Health Care Administration's Securities Division and is also the Investor Education Coordinator.
His responsibilities include the oversight of registered investment advisory firms and individual investment advisor representatives as well as all broker dealer agents registered to do business in Vermont. He also investigates customer complaints and conducts examinations and investigations on behalf of the Division.
Bill is a Certified Fraud Examiner (CFE) and is also a member of the North American Securities Administrators Association Committee for "Standards, Certification and Training" and also serves on the "Investment Advisor Training" project group. Prior to joining the Vermont Securities Division, Bill worked in the industry since 1993 in various capacities including Compliance and Operations. During that time, he held the FINRA Series 7, Series 63, Series 66, Series 24, Series 53 and Series 4 registrations.
His responsibilities include the oversight of registered investment advisory firms and individual investment advisor representatives as well as all broker dealer agents registered to do business in Vermont. He also investigates customer complaints and conducts examinations and investigations on behalf of the Division.
Bill is a Certified Fraud Examiner (CFE) and is also a member of the North American Securities Administrators Association Committee for "Standards, Certification and Training" and also serves on the "Investment Advisor Training" project group. Prior to joining the Vermont Securities Division, Bill worked in the industry since 1993 in various capacities including Compliance and Operations. During that time, he held the FINRA Series 7, Series 63, Series 66, Series 24, Series 53 and Series 4 registrations.