William T. Kaeli
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 Thomas Kaeli, who also goes by William Thomas Kaeli, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 12 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2010 - September 3, 2013
INTERNATIONAL ASSETS ADVISORY, LLC
March 29, 2010 - July 15, 2010
WESTMINSTER FINANCIAL SECURITIES, INC.
June 1, 2006 - March 30, 2010
GUNNALLEN FINANCIAL, INC
November 26, 2001 - June 1, 2006
BISHOP, ROSEN & CO., INC.
July 23, 1999 - December 17, 2001
GRUNTAL & CO., L.L.C.
February 6, 1991 - July 22, 1999
NOYES PARTNERS INCORPORATED
May 18, 1989 - January 17, 1991
DOMINICK & DICKERMAN LLC
September 16, 1982 - May 26, 1989
HERBERT J. SIMS & CO, INC.
February 24, 1978 - November 17, 1982
MORGAN STANLEY DW INC.
August 9, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
November 28, 1972 - August 25, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 1, 1972 - December 14, 1972
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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: 12/4/1967
Registered Representative ExaminationCurrent Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| 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.
