William Keith Pingleton
Professional Summary
William Keith Pingleton was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1984 - 2013. William had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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
42 years in the financial services industry
Current & Past Employments
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Current Firm
FIDUCIARY FINANCIAL SERVICES CORP. | SCHRODER SECURITIES CORPORATION | FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
Contact Information
Established
New York since 03/14/1983Firm Type
CorporationFiscal Year End
SeptemberFirm Size
SmallDocuments
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
1Arbitration
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Other business activities
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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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