William L. Zemke
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 Louis Zemke, who also goes by William Zemke, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 6 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2002 - September 3, 2025
SRT SECURITIES LLC
June 26, 1997 - August 3, 1998
REFCO SECURITIES, LLC
November 3, 1994 - January 1, 1997
GOLDMAN SACHS & CO. LLC
September 20, 1994 - September 29, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
September 19, 1994 - September 29, 1994
IDS LIFE INSURANCE COMPANY
September 1, 1993 - October 27, 1993
LEHMAN BROTHERS INC.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
SRT SECURITIES LLC
CRD#: 33725 / SEC#: , 8-34415
Contact information
FINRA licenses (25 States and Territories)
Documents
Disclosures
| Regulatory Event | 24 |
Red Flags
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