William M. Ucherek
Professional summary
William Michael Ucherek was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, William had worked at 4 firms, which includes BROOKSTREET SECURITIES CORPORATION, PACIFIC GENESIS GROUP INC., FIRST CALIFORNIA CAPITAL MARKETS GROUP INC., SOUTHERN CALIFORNIA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2001 - November 7, 2001
BROOKSTREET SECURITIES CORPORATION
April 2, 1996 - June 6, 2001
PACIFIC GENESIS GROUP, INC.
August 12, 1994 - September 29, 1995
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
October 25, 1993 - August 2, 1994
SOUTHERN CALIFORNIA SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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