William L. Jeffers
Professional summary
William Lee Jeffers 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 1969. Prior to being barred, William had worked at 5 firms, which includes D.E. FREY & COMPANY INC., STIFEL NICOLAUS & COMPANY INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, PIPER SANDLER & CO., BOETTCHER & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 1997 - March 31, 2000
D.E. FREY & COMPANY, INC.
March 7, 1994 - June 18, 1997
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 30, 1990 - March 7, 1994
PRUDENTIAL EQUITY GROUP, LLC
November 2, 1987 - April 19, 1990
PIPER SANDLER & CO.
October 3, 1969 - October 13, 1987
BOETTCHER & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 41
Date: 12/19/1981
NYSE Allied Member ExaminationPC
Date: 7/19/1977
AMEX Put and Call ExamSeries 1
Date: 3/18/1965
Registered Representative ExaminationSeries 12
Date: 3/24/1977
NYSE Branch Manager ExaminationSeries 40
Date: 9/24/1969
Registered Principal ExaminationCurrent Firm
D.E. FREY & COMPANY, INC.
CRD#: 23595 / SEC#: , 8-40582
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 4 |
| Arbitration | 8 |
Red Flags
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