William H. Lofthus
Professional summary
William Harold Lofthus SR was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, William had worked at 5 firms, which includes WATERSTONE FINANCIAL GROUP INC., DREHER & ASSOCIATES INC., A. G. EDWARDS & SONS INC., PFS INVESTMENTS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2002 - February 28, 2006
WATERSTONE FINANCIAL GROUP, INC.
October 28, 2002 - February 28, 2006
WATERSTONE FINANCIAL GROUP, INC.
August 11, 1993 - October 28, 2002
DREHER & ASSOCIATES, INC.
June 21, 1985 - July 20, 1993
A. G. EDWARDS & SONS, INC.
May 20, 1985 - September 26, 1985
PFS INVESTMENTS INC.
March 2, 1983 - June 27, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WATERSTONE FINANCIAL GROUP, INC.
CRD#: 10078 / SEC#: , 8-44243
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP, LLC | OWNER | |
| BROWN, STEPHANIE LEIGH | DIRECTOR | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER | 1821773 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VALTAIRO, PHILLIP BUHAY | CFO/FINOP | 4481362 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
Red Flags
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