William N. Fisk
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 Nelson Fisk was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2004 - July 29, 2005
PURSHE KAPLAN STERLING INVESTMENTS
October 15, 2003 - January 12, 2004
FEDERAL STREET INVESTMENTS, INC.
September 29, 2000 - January 3, 2003
EDWARD JONES
May 15, 1997 - December 12, 2000
J.P. MORGAN SECURITIES INC.
January 23, 1997 - April 14, 1997
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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