William B. Muller
Professional summary
William Benjamin Muller JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, William had worked at 5 firms, which includes LASALLE FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., ESSEX NATIONAL SECURITIES LLC, INDEPENDENCE ONE BROKERAGE SERVICES INC., CHATFIELD DEAN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2000 - February 1, 2001
LASALLE FINANCIAL SERVICES, INC.
April 13, 1999 - August 15, 2000
MORGAN STANLEY DW INC.
July 13, 1994 - May 3, 1995
ESSEX NATIONAL SECURITIES, LLC
March 2, 1994 - July 30, 1994
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
October 12, 1993 - February 10, 1994
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
LASALLE FINANCIAL SERVICES, INC.
CRD#: 20373 / SEC#: , 8-38264
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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