William S. Boldizar
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 Steven Boldizar, who also goes by William Steven Boldiazr, William S Boldizar, William Steven Boldizar Mr., 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 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2013 - March 13, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 6, 2012 - March 13, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 18, 2007 - September 1, 2011
CETERA ADVISORS LLC
July 18, 2007 - September 1, 2011
CETERA ADVISORS LLC
November 20, 2006 - July 18, 2007
LEGACY ADVISORY SERVICES, INC.
July 10, 2003 - July 18, 2007
LEGACY FINANCIAL SERVICES, INC.
September 24, 2002 - June 12, 2003
INVESTORS CAPITAL CORP.
October 23, 1986 - August 28, 2002
EQUITABLE ADVISORS, LLC
September 16, 1986 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
