William H. Munier
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 Henry Munier, who also goes by Hank Munier, William Hank Munier, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1988. William had worked at 10 firms and has passed the Series 65, Series 63, Series 7 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
April 12, 2010 - December 31, 2012
INVESTORS CAPITAL CORP.
April 9, 2010 - December 31, 2012
INVESTORS CAPITAL CORP.
January 2, 2009 - April 6, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 12, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 23, 2008 - April 6, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 7, 2004 - May 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 2004 - May 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 2002 - January 13, 2004
SIGNATOR INVESTORS, INC.
July 19, 2001 - March 11, 2002
KESTRA INVESTMENT SERVICES, LLC
November 30, 2000 - May 7, 2001
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
August 21, 1996 - July 25, 2000
A. G. EDWARDS & SONS, INC.
April 8, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 8, 1988 - March 2, 1994
PRUCO SECURITIES, LLC.
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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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