William L. Petitta
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 Lewis Petitta, who also goes by William L Petitta, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1998. William had worked at 2 firms 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
October 27, 1999 - June 15, 2000
ACAP FINANCIAL INC.
February 5, 1998 - October 5, 1999
ALPINE SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ACAP FINANCIAL INC.
CRD#: 7731 / SEC#: , 8-22821
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FERGUSON, KIRK LYNN | PRESIDENT, CEO, CFO, CCO, CO | 1307741 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
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.
