William F. Wiggins
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 Francis Wiggins, who also goes by Bill Wiggins, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 10 firms and has passed the Series 63, SIE 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
July 1, 2011 - July 5, 2016
PENSERRA SECURITIES, LLC
July 11, 2008 - July 1, 2011
SECUREVEST FINANCIAL GROUP
September 4, 2002 - July 11, 2008
CROCKER SECURITIES LLC
June 3, 1997 - September 4, 2002
IBIS SECURITIES, LLC
March 22, 1994 - May 2, 1997
ALAMO CAPITAL
January 6, 1993 - March 28, 1994
SUTTER SECURITIES INCORPORATED
November 8, 1990 - December 17, 1992
GRUNTAL & CO., L.L.C.
December 3, 1987 - October 31, 1990
HARRISON SECURITIES, INC.
July 27, 1987 - September 11, 1987
LANDMARK GOVERNMENT SECURITIES, INC.
May 18, 1987 - November 27, 1987
LANDMARK INVESTMENTS, 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
PENSERRA SECURITIES, LLC
CRD#: 145994 / SEC#: , 8-67773
Contact information
FINRA licenses (17 States and Territories)
Documents
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.
