William S. Aldrich
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 Stuart Aldrich, who also goes by William S Aldrich, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1996. William had worked at 5 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2004 - October 13, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
June 24, 2004 - November 12, 2009
ASSOCIATED SECURITIES CORP.
February 25, 2002 - May 28, 2004
SIGNATOR INVESTORS, INC.
August 18, 2000 - May 28, 2004
SIGNATOR INVESTORS, INC.
December 10, 1999 - July 20, 2000
CINCINNATI ANALYSTS, INC.
May 9, 1996 - September 3, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
No current employment
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.
