William J. Warnkin
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 John Warnkin, who also goes by Warnkin, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 8 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
October 15, 2015 - April 15, 2016
PROSPERITY CAPITAL ADVISORS
June 14, 2007 - April 1, 2009
OSAIC FA, INC.
June 13, 2007 - April 1, 2009
OSAIC FA, INC.
February 27, 2007 - June 18, 2007
MUTUAL SERVICE CORPORATION
March 28, 2002 - December 31, 2006
MUTUAL SERVICE CORPORATION
June 10, 1994 - December 31, 2006
MUTUAL SERVICE CORPORATION
July 18, 1990 - July 5, 1994
CAPITAL & BUSINESS PLANNING, INC.
October 2, 1989 - February 12, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
March 20, 1989 - July 17, 1989
NEW ENGLAND SECURITIES
November 7, 1988 - January 10, 1989
IDS LIFE INSURANCE COMPANY
November 7, 1988 - January 10, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
December 23, 1985 - December 21, 1987
MUTUAL SERVICE CORPORATION
Primary Firm SEC Registration
PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
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
PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
Contact information
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
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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