William F. Ponce
Professional summary
William Fred Ponce was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, William had worked at 10 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., KIRLIN SECURITIES INC., SENTRA SECURITIES CORPORATION, GREAT WESTERN FINANCIAL SECURITIES CORPORATION, BA INVESTMENT SERVICES INC., CONCOURSE FINANCIAL GROUP SECURITIES INC., SUNAMERICA SECURITIES INC., SOUTHMARK FINANCIAL SERVICES INC., AMERIPRISE FINANCIAL SERVICES LLC, VOYA FINANCIAL ADVISORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 1998 - June 24, 1999
WESTERN INTERNATIONAL SECURITIES, INC.
November 13, 1996 - June 17, 1998
KIRLIN SECURITIES INC.
July 20, 1995 - October 1, 1996
SENTRA SECURITIES CORPORATION
January 10, 1994 - July 26, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 13, 1992 - December 21, 1993
BA INVESTMENT SERVICES, INC.
June 17, 1992 - August 25, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 15, 1990 - June 18, 1992
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 18, 1989 - December 11, 1989
SUNAMERICA SECURITIES, INC.
January 21, 1987 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
May 30, 1986 - January 29, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
February 19, 1986 - February 20, 1987
VOYA FINANCIAL ADVISORS, 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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
