William A. Gale
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 Alan Gale, who also goes by Bill Gale, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 4 firms and has passed the Series 63, Series 3 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 1986 - July 25, 1987
SCARBOROUGH FINANCIAL SERVICES, INC.
September 19, 1985 - February 10, 1987
MAST CAPITAL INVESTORS, LTD.
December 4, 1984 - July 22, 1985
SAXON SECURITIES INC.
July 24, 1984 - October 26, 1984
STONEHENGE SECURITIES CORPORATION
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
SCARBOROUGH FINANCIAL SERVICES, INC.
CRD#: 15902 / SEC#: , 8-32926
Contact information
Documents
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.
