William A. Chase
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 Albert Chase was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 1 firm and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 1996 - February 20, 2002
WINDHAM FINANCIAL SERVICES, INC.
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
Current Firm
WINDHAM FINANCIAL SERVICES, INC.
CRD#: 35307 / SEC#: 801-70351, 8-46646
Contact information
Regulatory assets under management
| Total Number of Accounts | 58 |
| AUM (Assets Under Management) | $ 13,675,428 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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