William K. Dean
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 Kalman Dean, who also goes by Bill Dean, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1995. William had worked at 3 firms and has passed the Series 63 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2000 - October 11, 2004
BNY MELLON SECURITIES LLC
February 28, 1996 - June 3, 1998
CAPITAL PLANNING ASSOCIATES, INC.
June 30, 1995 - March 24, 1997
MIDAS SECURITIES GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BNY MELLON SECURITIES LLC
CRD#: 47268 / SEC#: , 8-51710
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
