William Cantrell

Executive Vice President - Corporate Finance at ASG Securities, Inc.

Location
Greater Los Angeles Area
Industry
Investment Banking

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William Cantrell's Overview

Current
  • Executive Vice President - Corporate Finance - Due Diligence at ASG Securities, Inc.
  • President at Cantrell and Associates
Connections

163 connections

William Cantrell's Summary

WILLIAM KEY CANTRELL, became a Registered Rep 30+ yrs ago, registered with ASG Securities, Inc. an SEC/FINRA Member Firm as General Securities Principal (S24), Municipal Securities Principal (S53), Options Principal (S4), Investment Banking Rep (S79), General Securities Rep (S7). He also is the principal consultant for WKCantrell and Associates which advises B/D’s in organizational, compliance, operations and structural matters, including compliance with Federal, State, and FINRA Regulations, Rules. In his 30 + years he has served in many positions in the securities industry, including Pres/CEO of several NASD Firms, wholesaler, AE/Rep, and Principal positions.. He was the founder and Pres/CEO of Pacific Securities Training Institute, Inc. and trained 1000’s for FINRA/NFA Registration for various Representative and Principal positions.

Before becoming a stockbroker, he was in mechanical/electronic engineering, in submarine missile checkout and pre-launch for Lockheed MSC, as well as aircraft cockpit systems , including Air Force One, for Boeing, Lockheed and Ted Smith. He received numerous commendations and invention disclosures. He had a high security clearance. He has served as advisor to various international entities or governments, including, in 1977, invited to review the feasibility of a farming project of approx. 100 square miles in central Sudan and serving on a Citizen Ambassador Delegation to China in 1980. He has published numerous articles and contributed to books on various subjects.

Specialties

Investment Banking, Due Diligence, Securities Compliance, Corporate Organizational Dynamics, Public Relations Strategies

William Cantrell's Experience

Executive Vice President - Corporate Finance - Due Diligence

ASG Securities, Inc.

December 2009Present (4 years 11 months) Southern California and Southwestern US

ASG is predominately a corporate and institutional investment banking firm. Mr. Cantrell serves many functions for ASG, including investment banking due diligence and oversight (a key role in the NTM 10-22 due diligence processes), new client acquisition (sales), project evaluations and more.

President

Cantrell and Associates

2003Present (11 years) Corona, CA

Cantrell and Associates is an investment banking consultant firm with clients in both the broker and issuer arenas, including compliance with Federal, State, SEC and FINRA Regulations, Rules and Law. In this capacity, Mr. Cantrell has advised and supported numerous companies in raising capital and establishing market trading for their stock. Mr. Cantrell also assists and advises broker/dealers in organizational, compliance, operations and structural matters. Mr. Cantrell served as Principal with various of the following firms as supported the needs of the subject FINRA Member Firm below:

FINRA Member Firms:
RichAve Financial, Inc,
Ameriprise Financial Services, Inc.
Mission Securities Corporation
ASG Securities, Inc.
Midas Securities, Inc.
Chicago Investment Group, Inc.
Hampton Securities, Inc. Los Angeles, California

William Cantrell's Skills & Expertise

  1. Private Placements
  2. Public Companies
  3. Venture Capital
  4. Private Equity
  5. Investor Relations
  6. Training & Development
  7. Management Consulting
  8. Sales Management
  9. Investment Banking
  10. Organizational Development
  11. Due Diligence
  12. Capital Markets
  13. Investments
  14. Securities
  15. Options
  16. FINRA
  17. Banking
  18. IPO
  19. Trading

Contact William for:

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  • new ventures
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  • expertise requests
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  • reference requests
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