William K. Fraser
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 Kilborn Fraser was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1963. William had worked at 9 firms and has passed the Series 63, PC, Series 1, Series 24, Series 27, Series 40 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2003 - July 19, 2004
THE TRUMAN GROUP INC
February 27, 1990 - March 31, 2003
YOUR DISCOUNT BROKER, INC.
October 18, 1989 - February 6, 1990
METTA FINANCIAL GROUP, INC.
May 27, 1982 - July 27, 1989
DREYFUS BROKERAGE SERVICES, INC.
April 15, 1981 - May 26, 1982
PAULSON INVESTMENT COMPANY LLC
April 20, 1977 - September 18, 1980
DREYFUS BROKERAGE SERVICES, INC.
November 13, 1974 - March 1, 1977
FIRST WILSHIRE SECURITIES, INC.
January 4, 1974 - September 22, 1974
BLAIR CASS & COMPANY INC
September 5, 1973 - February 28, 1975
SNODGRASS & CO., INC.
June 13, 1963 - July 31, 1973
STERN, FRANK, MEYER & FOX, INCORPORATED
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
PC
Date: 9/26/1977
AMEX Put and Call ExamSeries 1
Date: 6/10/1963
Registered Representative ExaminationSeries 40
Date: 3/20/1978
Registered Principal ExaminationCurrent Firm
THE TRUMAN GROUP INC
CRD#: 10764 / SEC#: , 8-28141
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HERITAGE GLOBAL LTD. | PARENT COMPANY | |
| FELDMAN, JACOB | PRESIDENT, CCO, GSP, FINOP, TREASURER, SECRETARY, DIRECTOR | 205901 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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