William B. Kemmler
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 Bruce Kemmler was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1974. William had worked at 11 firms and has passed the Series 63, Series 7, Series 1, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 1992 - June 15, 2000
T.H.E. FINANCIAL GROUP, LTD
March 22, 1990 - September 30, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 22, 1990 - September 30, 1992
OSAIC FA, INC.
October 24, 1989 - March 19, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
July 7, 1988 - September 20, 1989
FSC SECURITIES CORPORATION
May 25, 1988 - July 15, 1988
AMERICAN CAPITAL EQUITIES, INC.
October 17, 1986 - May 12, 1988
T.H. LEHMAN SECURITIES CORPORATION
December 10, 1979 - December 16, 1981
FERRIS, BAKER WATTS, LLC
January 18, 1978 - April 27, 1979
LOEB PARTNERS
May 5, 1977 - April 27, 1979
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
October 21, 1975 - April 27, 1979
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
March 25, 1974 - November 3, 1975
FERRIS, BAKER WATTS, LLC
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: 3/19/1974
Registered Representative ExaminationCurrent Firm
T.H.E. FINANCIAL GROUP, LTD
CRD#: 14720 / SEC#: , 8-31119
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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