William K. Klingler
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 Kyle Klingler was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 1988 - September 12, 1988
WILSON-DAVIS & CO., INC.
November 25, 1987 - March 3, 1988
FIDELITY BROKERAGE SERVICES LLC
February 7, 1986 - January 20, 1987
FIRST AFFILIATED SECURITIES, INC.
April 26, 1985 - December 18, 1985
EQUITY-ONE CORPORATION
February 21, 1985 - August 8, 1986
BENTLEY INVESTMENTS, 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
WILSON-DAVIS & CO., INC.
CRD#: 3777 / SEC#: , 8-14299
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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