William R. Hecht
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 Robert Hecht, who also goes by Bill Hecht, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1986. William had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2012 - June 17, 2013
SOURCE CAPITAL GROUP, INC.
July 2, 2012 - June 17, 2013
SOURCE CAPITAL GROUP, INC.
February 4, 2012 - May 17, 2012
A.G.P. / ALLIANCE GLOBAL PARTNERS
January 3, 2012 - May 17, 2012
A.G.P. / ALLIANCE GLOBAL PARTNERS
November 5, 2003 - June 9, 2008
FFEC WEALTH PARTNERS LLC
March 13, 2001 - May 13, 2002
EMPIRE CAPITAL GROUP, LLC
August 5, 1997 - February 21, 2001
FFEC WEALTH PARTNERS LLC
August 26, 1996 - July 1, 1997
CAPITAL WEST INVESTMENT GROUP, INC.
December 5, 1994 - July 8, 1995
DONALD & CO. SECURITIES INC.
May 20, 1991 - October 6, 1994
DICKINSON & CO.
January 25, 1990 - May 24, 1991
BILTMORE EQUITIES & SECURITIES, LTD.
March 17, 1988 - January 24, 1990
PRINCETON AMERICAN EQUITIES CORPORATION
August 31, 1987 - March 18, 1988
NORCAP SECURITIES, INC.
May 18, 1987 - September 25, 1987
PENTAD SECURITIES, INC.
February 10, 1987 - May 22, 1987
SHERWOOD CAPITAL, INC.
September 26, 1986 - February 10, 1987
FIRST JERSEY 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
Series 55
Date: 6/29/1999
Limited Representative-Equity Trader ExamCurrent Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
