William J. Flammer
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 Jenaro Flammer was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 1993 - September 30, 1998
WACHOVIA SECURITIES, INC.
March 29, 1989 - January 7, 1993
ALEX. BROWN & SONS INCORPORATED
October 14, 1988 - March 7, 1989
WACHOVIA SECURITIES, INC.
May 11, 1982 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
September 11, 1970 - August 15, 1974
SMITH & MEDFORD, 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
Series 1
Date: 2/29/1968
Registered Representative ExaminationCurrent Firm
WACHOVIA SECURITIES, INC.
CRD#: 431 / SEC#: , 8-2612
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
| Civil Event | 3 |
| Arbitration | 18 |
| Bond | 1 |
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.
