William J. Kloehn
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 John Kloehn, who also goes by William Kloehn, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 50, 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
May 17, 2019 - February 25, 2021
CHATHAM FINANCIAL SECURITIES LLC
September 4, 2009 - April 27, 2018
JCRA FINANCIAL LLC
December 18, 1998 - April 21, 2008
CITIGROUP GLOBAL MARKETS INC.
December 19, 1994 - December 18, 1998
CITICORP SECURITIES, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CHATHAM FINANCIAL SECURITIES LLC
CRD#: 118818 / SEC#: , 8-53722
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
