William I. Weinstein
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 Irving Weinstein was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2007 - August 6, 2007
GUNNALLEN FINANCIAL, INC
January 26, 2001 - April 6, 2005
DIRECT CAPITAL SECURITIES, INC.
May 6, 1998 - January 26, 1999
DONALD & CO. SECURITIES INC.
March 14, 1995 - May 3, 1996
FELTMAN & CO
September 6, 1994 - February 7, 1995
EARLYBIRDCAPITAL, INC.
May 31, 1994 - September 8, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 7, 1992 - June 10, 1994
LAFFER, WARREN AND CO., INC.
January 6, 1992 - January 30, 1992
FIRST AFFILIATED SECURITIES
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
