William E. Thees
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Edward Thees was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 1 firm and has passed the Series 63, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 1982 - March 7, 2012
DISALLE SECURITIES & MORTGAGE CO.
State Registrations and Notice Filings
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Exams
Current Firm
DISALLE SECURITIES & MORTGAGE CO.
CRD#: 10504 / SEC#: , 8-27440
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DISALLE, DANIEL JOSEPH SR | PRESIDENT & CHIEF COMPLIANCE OFFICER | 1051342 |
Red Flags
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