William R. Komlo
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 Regis Komlo, who also goes by Bill Komlo, 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 SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2019 - December 31, 2021
ARKADIOS CAPITAL
April 19, 2011 - March 18, 2019
TRIAD ADVISORS LLC
October 24, 2005 - April 20, 2011
CETERA WEALTH SERVICES, LLC
July 19, 2002 - October 24, 2005
BLUE VASE SECURITIES, LLC
February 23, 2001 - August 15, 2002
LIFEMARK SECURITIES CORP.
November 9, 1995 - November 30, 2000
PRUCO SECURITIES, LLC.
February 13, 1982 - February 19, 1995
PRUCO SECURITIES, LLC.
June 24, 1970 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 6/18/1970
Registered Representative ExaminationCurrent Firm
ARKADIOS CAPITAL
CRD#: 282710 / SEC#: , 8-69729
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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