William G. Gollner
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 Guy Gollner, who also goes by Bill Gollner, William Gollner, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - June 24, 2015
LAMPERT CAPITAL MARKETS INC.
June 22, 2001 - January 6, 2014
KCCI, LTD.
October 1, 2000 - May 23, 2002
M & J SECURITIES, INC.
January 14, 1997 - February 12, 1999
PRENTICE SECURITIES, INCORPORATED
February 25, 1994 - January 6, 1997
CAPIS
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 55
Date: 5/11/2005
Limited Representative-Equity Trader ExamSeries 8
Date: 1/31/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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