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WK

William M. Kean

Some features on this profile are disabled
CRD#: 265676
WK

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 Madison Kean was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1970. William had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

July 22, 1996 - November 25, 1996

KEPLEY & CO., INCORPORATED

BD
CRD#: 20613
RICHMOND, VA
Past

December 17, 1984 - May 24, 1994

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

May 3, 1983 - December 3, 1984

MAY SECURITIES CORPORATION

BD
CRD#: 6086
Past

August 31, 1982 - March 28, 1983

VISCOUNT SECURITIES CORPORATION

BD
CRD#: 8418
Past

May 11, 1982 - April 4, 1986

XCL SECURITIES, INC.

BD
CRD#: 10318
Past

February 7, 1973 - September 23, 1983

PATRICK PROGRAMS, INC.

BD
CRD#: 5915
Past

February 27, 1970 - March 7, 1973

R. S. DICKSON, POWELL, KISTLER & CRAWFORD

BD
CRD#: 671

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: 2/6/1991
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/14/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/2/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 2/19/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 7/16/1974
General Securities Principal Examination

Current Firm

K&
KEPLEY & CO., INCORPORATED
KEPLEY & CO., INCORPORATED

CRD#: 20613 / SEC#: , 8-38363

BD
Terminated by SEC on 01/07/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
South Carolina since 08/07/1987
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ANDERSON & STRUDWICK INVESTMENT CORPORATIONOWNER
DONLIN, JAMES JCOO,SVP2579395
DUNCAN, JENNY ALICECCO, SROP, CROP, SVP1207204
HAMBY, GEORGE MARKCHAIRMAN/SVP2257565
LANE, CHRISTINE HARRISONCFO, SVP3179937
LENTELL, WILLIAM PATRICKPRESIDENT/CEO2136035

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

KEPLEY & CO., INCORPORATED

CRD#: 20613

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