William C. Tak
Professional summary
William Choongwon Tak was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, William had worked at 11 firms, which includes MULTIPLE FINANCIAL SERVICES INC., IFC ADVISORY, PURSHE KAPLAN STERLING INVESTMENTS, UBS FINANCIAL SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, WAMU INVESTMENTS INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, MARKETING ONE SECURITIES INC., MORGAN STANLEY DW INC., F.D. ROBERTS SECURITIES INC., ELLMAN & HOWE SECURITIES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2009 - January 9, 2012
MULTIPLE FINANCIAL SERVICES, INC.
November 12, 2009 - January 9, 2012
MULTIPLE FINANCIAL SERVICES, INC.
October 1, 2009 - May 19, 2010
IFC ADVISORY
September 18, 2006 - July 21, 2009
PURSHE KAPLAN STERLING INVESTMENTS
December 12, 2003 - September 26, 2006
UBS FINANCIAL SERVICES INC.
December 12, 2003 - September 26, 2006
UBS FINANCIAL SERVICES INC.
December 18, 2000 - December 19, 2003
WELLS FARGO CLEARING SERVICES, LLC
March 9, 1998 - December 19, 2000
WAMU INVESTMENTS, INC.
May 19, 1992 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
February 14, 1992 - May 11, 1992
MARKETING ONE SECURITIES, INC.
May 14, 1990 - February 11, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
March 2, 1989 - June 4, 1990
MORGAN STANLEY DW INC.
January 21, 1989 - February 6, 1989
F.D. ROBERTS SECURITIES, INC.
October 18, 1988 - January 9, 1989
UBS FINANCIAL SERVICES INC.
August 8, 1988 - September 7, 1988
ELLMAN & HOWE SECURITIES
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
MULTIPLE FINANCIAL SERVICES, INC.
CRD#: 100100 / SEC#: , 8-52017
Contact information
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,800,000 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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