William W. Alexander
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 Wallace Alexander III, who also goes by Bill Alexander III, William Wallace Alexander, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 7 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2005 - February 14, 2008
KOVACK SECURITIES INC.
March 17, 1999 - September 7, 2004
OGILVIE SECURITY ADVISORS CORPORATION
November 4, 1998 - December 17, 1998
OSAIC FS, INC.
November 3, 1997 - December 8, 1998
SECURITIES AMERICA, INC.
November 26, 1993 - November 1, 1996
SUNSET FINANCIAL SERVICES, INC.
April 21, 1993 - October 26, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 24, 1986 - April 22, 1991
WS GRIFFITH SECURITIES, 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
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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