William E. Walenda
Professional summary
William Edward Walenda 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 1989. Prior to being barred, William had worked at 6 firms, which includes J.J.B. HILLIARD W.L. LYONS LLC, PNC BROKERAGE CORP, ESSEX NATIONAL SECURITIES LLC, H.J. MEYERS & CO. INC., WESTFIELD FINANCIAL CORPORATION, HIBBARD BROWN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2002 - August 15, 2002
J.J.B. HILLIARD, W.L. LYONS, LLC
February 3, 1996 - June 1, 2002
PNC BROKERAGE CORP
September 13, 1995 - February 7, 1996
ESSEX NATIONAL SECURITIES, LLC
August 19, 1994 - September 21, 1995
H.J. MEYERS & CO., INC.
August 5, 1994 - August 19, 1994
WESTFIELD FINANCIAL CORPORATION
July 18, 1989 - September 15, 1994
HIBBARD BROWN & CO., 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
J.J.B. HILLIARD, W.L. LYONS, LLC
CRD#: 453 / SEC#: 801-23120, 8-33133
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HL FINANCIAL SERVICES, LLC | MEMBER | |
| ALLEN, JAMES REID | CHAIRMAN OF THE BOARD, CEO | 1014622 |
| AMATO, ANTHONY NICHOLAS JR | PRINCIPAL OPERATIONS OFFICER | 1329288 |
| ASFAHL, DONALD LEE | EXECUTIVE VICE PRESIDENT | 2824358 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| CUTSINGER, CHARLES JOSEPH JR. | EXECUTIVE VICE PRESIDENT | 2065360 |
| GRIMLEY, CHARLES MORRISON | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 1121284 |
| KAPLAN, ELIZABETH C | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4619011 |
| KESSINGER, THOMAS BURKS III | DIRECTOR, PRESIDENT | 2366538 |
| MILLER, CARMELLA RASI | CHIEF RISK OFFICER, EXECUTIVE VICE PRESIDENT | 1879379 |
| NEWMAN, ALAN HAMBURG | EXECUTIVE VICE PRESIDENT | 719981 |
| PAPACHRISTOU, NICHOLAS | CHIEF MARKETING OFFICER, EXECUTIVE VICE PRESIDENT | 6464162 |
| PURCELL, PAUL EDWARD | DIRECTOR | 844873 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| WHITE, JALEIGH JEFFERS | EXECUTIVE VICE PRESIDENT | 5950788 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 31 |
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