William M. Peloso
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 M Peloso, who also goes by William Michael Peloso, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7 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
September 5, 2016 - April 3, 2017
FOREST SECURITIES,INC.
January 30, 2013 - September 24, 2014
CAPITAL ONE SECURITIES, INC.
March 16, 2011 - March 5, 2012
SG AMERICAS SECURITIES, LLC
November 1, 2010 - February 17, 2011
LIQUID CAPITAL SECURITIES, LLC
July 31, 2009 - May 11, 2010
PALI CAPITAL, INC.
March 3, 2008 - June 11, 2009
WELLS FARGO SECURITIES, LLC
July 2, 2007 - March 4, 2008
JEFFERIES BACHE SECURITIES, LLC
February 2, 1999 - July 10, 2007
PRUDENTIAL EQUITY GROUP, LLC
May 4, 1998 - July 17, 1998
WEEDEN & CO.L.P.
October 5, 1993 - March 24, 1998
PRUDENTIAL EQUITY GROUP, LLC
February 12, 1993 - September 1, 1993
WAGNER, STOTT & CO.
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
Series 55
Date: 8/6/2001
Limited Representative-Equity Trader ExamCurrent Firm
FOREST SECURITIES,INC.
CRD#: 16255 / SEC#: , 8-33568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIVE TRIBAL ALLIANCE, LLC | SOLE SHAREHOLDER | |
| DUNNE, MICHAEL FITZGERALD | PRESIDENT/COO/FINOP/CCO | 1676474 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
