William W. Raffaele

Some features on this profile are disabled

CRD#: 2367535

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 Warren Raffaele was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1993. William had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 31 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 27, 2008 - January 2, 2013

KUHNS BROTHERS SECURITIES CORPORATION

CRD#: 47331

COS COB, CT

Past

July 19, 2007 - April 23, 2013

CORNERSTONE CAPITAL PARTNERS INC., N.A.

RIA

CRD#: 141257

RIVERSIDE, CT

Past

January 13, 2006 - December 31, 2006

THE CONCORD EQUITY GROUP, LLC

RIA

CRD#: 14569

MATAWAN, NJ

Past

January 13, 2006 - December 31, 2006

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

ISELIN, NJ

Past

June 28, 2004 - May 2, 2005

HARVEST CAPITAL ADVISORS, LLC

RIA

CRD#: 125920

WETHERSFIELD, CT

Past

May 11, 2004 - April 29, 2005

HARVEST CAPITAL LLC

CRD#: 35723

WETHERSFIELD, CT

Past

November 11, 2003 - November 24, 2003

M HOLDINGS SECURITIES, INC.

CRD#: 43285

PORTLAND, OR

Past

February 3, 1998 - August 14, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 28, 1995 - February 6, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 25, 1993 - February 3, 1994

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/4/2004

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/4/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/10/2003

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 7/24/1995

Futures Managed Funds Examination

Principal/Supervisory Exam

Series 24

Date: 7/30/2004

General Securities Principal Examination

Current Firm

KUHNS BROTHERS SECURITIES CORPORATION

CRD#: 47331 / SEC#: , 8-51748

Terminated by SEC on 02/04/2018

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 03/15/1999

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
KUHNS BROTHERS, INC.	PARENT COMPANY
BLOCH, HARRY NATHANIEL II	FINOP	23688
KUHNS, JOHN DOUGLAS	CHAIRMAN/CEO	851444
NORTH, THADDEUS JAMES	CHIEF COMPLIANCE OFFICER	2100909

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William W. Raffaele

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CORNERSTONE CAPITAL PARTNERS INC., N.A.

THE CONCORD EQUITY GROUP, LLC

THE CONCORD EQUITY GROUP, LLC

HARVEST CAPITAL ADVISORS, LLC

HARVEST CAPITAL LLC

M HOLDINGS SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

CHATFIELD DEAN & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/4/2004

Series 65

Date: 9/4/1996

Series 63

Date: 10/12/1993

Series 7

Date: 11/10/2003

Series 31

Date: 7/24/1995

Series 24

Date: 7/30/2004

Current Firm

KUHNS BROTHERS SECURITIES CORPORATION

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KUHNS BROTHERS SECURITIES CORPORATION

TRUST BUT VERIFY

Similar Advisors