William K. Pingleton
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 Keith Pingleton was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2011 - October 23, 2013
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
January 11, 2007 - April 26, 2016
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
May 9, 2005 - April 26, 2016
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
January 10, 2002 - February 17, 2004
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
February 5, 2001 - January 14, 2002
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 17, 1999 - February 8, 2001
NATIONWIDE SECURITIES, LLC
January 4, 1999 - October 22, 1999
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
February 4, 1994 - January 11, 1999
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
October 26, 1993 - December 10, 1993
CHATFIELD DEAN & CO., INC.
May 17, 1990 - November 7, 1991
AMERICAN FRONTEER FINANCIAL CORPORATION
September 26, 1989 - May 16, 1990
B C FINANCIAL CORPORATION
January 12, 1989 - October 24, 1989
FAIRCHILD FINANCIAL GROUP, INC.
October 3, 1988 - May 16, 1990
B C FINANCIAL CORPORATION
August 27, 1984 - October 27, 1988
BLINDER, ROBINSON & CO., INC.
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
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
CRD#: 13594 / SEC#: , 8-29504
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEMPLETON WORLDWIDE, INC. | SHARE HOLDER | |
| CIEPRISZ, KENNETH DAVID | CHIEF COMPLIANCE OFFICER | 2303713 |
| DEAKYNE, WILLIAM SCOTT JR. | SENIOR VICE PRESIDENT AND DIRECTOR | 1861589 |
| GRAY, STEVEN JOEL | ASSISTANT SECRETARY | 849484 |
| MASOM, JEFFREY SCOTT | PRESIDENT AND DIRECTOR | 2870966 |
| PATERSON, DAVID | CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL | 7001546 |
| PLAFKER, JED ANDREW | DIRECTOR | 2793695 |
| ROSAS, VIRGINIA E | ASSISTANT SECRETARY | 5346920 |
| SHANEYFELT, GWEN LOUISE | TREASURER | 2668221 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
