William A. Kruger
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 Andrew Kruger JR was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 11 firms and has passed the Series 63, PC, Series 3, Series 5, Series 000 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
August 21, 1996 - October 28, 1996
TAGLICH BROTHERS, INC.
June 14, 1994 - August 24, 1994
CITIGROUP GLOBAL MARKETS INC.
June 7, 1993 - July 7, 1993
WEATHERLY SECURITIES CORPORATION
February 8, 1991 - May 3, 1991
DEUTSCHE IXE, LLC
April 20, 1990 - January 3, 1991
MORGAN STANLEY DW INC.
September 2, 1986 - March 26, 1990
UBS FINANCIAL SERVICES INC.
January 21, 1986 - August 29, 1986
ROONEY, PACE INC.
May 14, 1985 - January 16, 1986
KUHNS BROTHERS & LAIDLAW, INC.
August 9, 1984 - April 8, 1985
CRALIN & CO., INC.
January 2, 1973 - February 27, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
December 20, 1972 - August 17, 1984
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
TAGLICH BROTHERS, INC.
CRD#: 29102 / SEC#: 801-68376, 8-44118
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: 6/13/1994
AMEX Put and Call ExamSeries 5
Date: 11/19/1981
Interest Rate Options ExaminationSeries 000
Date: 12/20/1972
General Securities Principal ExaminationSeries 1
Date: 12/20/1972
Registered Representative ExaminationCurrent Firm
TAGLICH BROTHERS, INC.
CRD#: 29102 / SEC#: 801-68376, 8-44118
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 190 |
| AUM (Assets Under Management) | $ 45,136,551 |
Disclosures
| Regulatory Event | 8 |
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.
