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WS

William K. Shanklin

Some features on this profile are disabled
CRD#: 2624350
WS

Professional summary

William Kevin Shanklin III was barred by the FINRA 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 1995. Prior to being barred, William had worked at 5 firms, which includes INVESTORS CAPITAL CORP., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, MAY DAVIS GROUP INC., BILTMORE SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William K Shanklin Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 25, 2000 - December 12, 2000

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA
Past

May 11, 1998 - August 14, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

May 11, 1998 - August 14, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

August 14, 1996 - January 22, 1998

MAY, DAVIS GROUP INC.

BD
CRD#: 35622
NEW YORK, NY
Past

September 13, 1995 - July 18, 1996

BILTMORE SECURITIES, INC.

BD
CRD#: 25023
FT. LAUDERDALE, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/9/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/27/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/12/1995
General Securities Representative Examination

Current Firm

IC
INVESTORS CAPITAL CORP.
INVESTORS CAPITAL ADVISORY | INVESTORS CAPITAL CORP.

CRD#: 30613 / SEC#: 801-62341, 8-45054

BD
Terminated by SEC on 01/17/2017
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Contact information

Main Address
6 Kimball Lane, Lynnfield, MA 01940
Mailing Address
Phone number
Established
Massachusetts since 07/06/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ICA PART 2A BROCHURE & APPENDIX 1 (10/5/2016)
TOWER SQUARE INVESTMENT MANAGEMENT LLC ADV PART 2A AND 2B (10/5/2016)

Direct owners and executive officers

NamePositionCRD#
INVESTORS CAPITAL HOLDINGS, LLCOWNER
BRETON, BERNARD ANDREBD CHIEF COMPLIANCE OFFICER2030660
OLSON, GREGORY ALANSECRETARY2692482
SHELSON, MARK PAULTREASURER1819252
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604

Disclosures

Regulatory Event22
Arbitration11

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.

Company Information

INVESTORS CAPITAL CORP.

CRD#: 30613

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