William J. Stocker
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 James Stocker, who also goes by Jim Stocker, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 7 firms and has passed the Series 63, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2010 - June 29, 2012
WILBANKS SECURITIES, INC.
June 22, 2010 - July 28, 2010
SUNSET FINANCIAL SERVICES, INC.
March 23, 2001 - August 28, 2009
WALNUT STREET SECURITIES, INC.
May 10, 1993 - March 21, 2001
HORNOR, TOWNSEND & KENT, LLC
February 3, 1992 - March 3, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 3, 1992 - March 3, 1993
PRUCO SECURITIES, LLC.
January 9, 1985 - January 27, 1992
MML INVESTORS SERVICES, LLC
October 19, 1983 - January 29, 1985
PRUCO SECURITIES, 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
WILBANKS SECURITIES, INC.
CRD#: 40673 / SEC#: , 8-49134
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
