William A. Kravitz
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 Alan Kravitz, who also goes by William A Kravitz, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 6 firms and has passed the Series 63, SIE, PC, Series 000, Series 1, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2009 - June 6, 2016
NATIONAL SECURITIES CORPORATION
April 20, 2000 - April 30, 2009
OPPENHEIMER & CO. INC.
October 12, 1987 - May 5, 2000
GRUNTAL & CO., L.L.C.
April 4, 1983 - October 26, 1987
ADVEST, INC.
March 10, 1976 - April 5, 1983
DRESKIN & COMPANY INC.
November 6, 1969 - March 10, 1976
LEYNER DRESKIN & COMPANY
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
PC
Date: 6/1/1977
AMEX Put and Call ExamSeries 000
Date: 8/6/1965
General Securities Principal ExaminationSeries 1
Date: 8/6/1965
Registered Representative ExaminationSeries 40
Date: 1/14/1971
Registered Principal ExaminationSeries 12
Date: 3/22/1968
NYSE Branch Manager ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
