William L. Boettcher
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 Lawrence Boettcher, who also goes by Bill Boettcher, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 10 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 1999 - June 7, 2001
INVESTMENT CENTERS OF AMERICA, INC.
June 30, 1994 - October 5, 1999
WOODBURY FINANCIAL SERVICES, INC.
March 27, 1990 - September 7, 1994
NORTH AMERICAN MANAGEMENT, INC.
January 18, 1989 - December 5, 1989
WELLINGTON INVESTMENT SERVICES CORP.
May 2, 1988 - January 24, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 20, 1987 - February 23, 1988
INVEST FINANCIAL CORPORATION
January 5, 1987 - May 2, 1987
AMERIPRISE ADVISOR SERVICES, INC.
November 24, 1981 - August 20, 1986
OSAIC FS, INC.
October 3, 1979 - July 7, 1981
INTEGRATED RESOURCES EQUITY CORPORATION
January 14, 1976 - October 5, 1979
SECURITIES MANAGEMENT & RESEARCH, INC.
April 17, 1970 - March 28, 1976
UIALICO EQUITY SERVICES 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 1
Date: 3/8/1969
Registered Representative ExaminationSeries 00
Date: 9/22/1971
General Securities Principal ExaminationCurrent Firm
INVESTMENT CENTERS OF AMERICA, INC.
CRD#: 16443 / SEC#: 801-56410, 8-33983
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVEST FINANCIAL CORPORATION | DIRECT OWNER | 12984 |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP/COO | 2770565 |
| KOMOSZEWSKI, JAMES ANTHONY | PRESIDENT/CEO/DIRECTOR | 2833256 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND ICA SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
| Bond | 3 |
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.
