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William Michael Ciosek

CRD# 1134244·Registered 1983 - 1987
Previously Registered: Being a previously registered professional could mean that William 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.

Professional Summary

William Michael Ciosek was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1983 - 1987. William had worked at 2 firms and has passed the Series 63, Series 7, Series 52, Series 24 and Series 53 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

CAPITAL EXPANSION GROUP, INC.·CRD# 16067
BD
February 10, 1987 - December 24, 1987
CAPITAL EXPANSION GROUP, INC.·CRD# 16067
BD
May 3, 1985 - December 24, 1987
DAVID LERNER ASSOCIATES, INC.·CRD# 5397
BD
May 23, 1983 - January 14, 1985

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Current Firm

CE
CAPITAL EXPANSION GROUP, INC.

CAPITAL EXPANSION GROUP, INC.

CRD#: 16067 / SEC#: 8-33269
BD
Expelled by FINRA on 09/27/1988

Contact Information

Established

Virginia since 11/19/1984

Firm Type

Corporation

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1985About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 1985About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed May 1983About the Series 52 exam

Series 24 — General Securities Principal Examination

Passed Mar 1985About the Series 24 exam

Series 53 — Municipal Securities Principal Examination

Passed Jan 1985About the Series 53 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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