William R. Heftel
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 Roy Heftel was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2021 - January 31, 2022
CENTER STREET ADVISORS, INC.
September 6, 2016 - January 31, 2022
CENTER STREET SECURITIES, INC.
December 22, 2011 - September 9, 2016
PRINCIPAL SECURITIES, INC.
December 1, 2011 - September 9, 2016
PRINCIPAL SECURITIES, INC.
October 4, 2011 - December 5, 2011
CL WEALTH MANAGEMENT LLC
October 3, 2011 - December 5, 2011
ALLIED BEACON PARTNERS, INC.
January 4, 2010 - September 30, 2011
WORKMAN SECURITIES CORPORATION
November 14, 2007 - September 30, 2011
WORKMAN SECURITIES CORPORATION
October 2, 2007 - November 21, 2007
BROKER DEALER FINANCIAL SERVICES CORP.
December 12, 2006 - October 3, 2007
ONEAMERICA SECURITIES, INC.
October 31, 1995 - December 31, 2004
STIFEL INDEPENDENT ADVISORS, LLC
August 19, 1992 - December 31, 2004
STIFEL INDEPENDENT ADVISORS, LLC
November 20, 1986 - August 31, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 23, 1986 - August 19, 1992
WALNUT STREET SECURITIES, INC.
June 18, 1986 - November 20, 1986
GENERAL AMERICAN LIFE INSURANCE COMPANY
April 14, 1986 - July 25, 1986
WESTPORT FINANCIAL GROUP, INC.
July 25, 1985 - May 6, 1986
WALNUT STREET SECURITIES, INC.
February 23, 1984 - July 22, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
January 20, 1983 - March 13, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 20, 1983 - March 13, 1984
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CENTER STREET ADVISORS, INC.
CRD#: 169329 / SEC#: 801-80344
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,689 |
| AUM (Assets Under Management) | $ 336,007,103 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
