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WD

William E. Dutra

Some features on this profile are disabled
CRD#: 1888661
WD

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 Ernest Dutra, who also goes by Bill Dutra, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1988. William had worked at 1 firm and has passed the Series 22 exam.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Dutra

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 15, 1988 - June 13, 2013

OWENS SECURITIES CORP.

BD
CRD#: 23342
WALNUT CREEK, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 22
Date: 10/26/1988
Direct Participation Programs Representative Examination

Current Firm

OS
OWENS SECURITIES CORP.
OWENS SECURITIES CORP.

CRD#: 23342 / SEC#: , 8-40365

BD
Terminated by SEC on 08/12/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 09/26/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OWENS FINANCIAL GROUP, INC.OWNER
DRAPER, BRYAN HAVENCHIEF COMPLIANCE OFFICER1886649
DRAPER, BRYAN HAVENCHIEF FINANCIAL OFFICER/SECRETARY1886649
OWENS, WILLIAM CURTISPRESIDENT1886648

Disclosures

Regulatory Event1

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.

Company Information

OWENS SECURITIES CORP.

CRD#: 23342

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