William E. Straub
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 Straub, who also goes by Bill Straub, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 5 firms and has passed the Series 65, Series 63, Series 7 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
February 8, 2011 - February 4, 2013
FINANCIAL TELESIS INC
January 21, 2011 - February 4, 2013
FINANCIAL TELESIS INC
December 19, 2008 - January 19, 2011
RETIREMENT CAPITAL GROUP SECURITIES, INC.
February 3, 2003 - April 1, 2011
RETIREMENT CAPITAL GROUP SOUTHEAST
September 18, 1985 - December 22, 2008
PRINCIPAL SECURITIES, INC.
November 21, 1983 - October 28, 1985
SPALDING & COMPANY
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
FINANCIAL TELESIS INC
CRD#: 31012 / SEC#: 801-63974, 8-45304
Contact information
FINRA licenses (6 States and Territories)
Red Flags
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