William E. Gaffken
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 E Gaffken MR was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 1 firm and has passed the Series 00 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 1968 - June 2, 2000
KINGSTON SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Series 00
Date: 5/17/1968
General Securities Principal ExaminationCurrent Firm
KINGSTON SECURITIES CORPORATION
CRD#: 2446 / SEC#: , 8-13895
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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