William E. Wolfson
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 Edward Wolfson, who also goes by Bill Wolfson, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 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
February 6, 2017 - February 28, 2017
SOUTHEAST INVESTMENTS, N.C., INC.
October 28, 2016 - February 28, 2017
SOUTHEAST INVESTMENTS, N.C., INC.
May 20, 2013 - November 3, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
May 20, 2013 - November 3, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
July 20, 2012 - March 14, 2013
JSC ADVISORS, LLC
May 11, 2011 - July 16, 2012
PNC WEALTH MANAGEMENT LLC
May 5, 2011 - July 16, 2012
PNC WEALTH MANAGEMENT LLC
July 28, 2009 - March 23, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 25, 2009 - March 23, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2009 - July 1, 2009
MORGAN STANLEY
June 1, 2009 - July 1, 2009
MORGAN STANLEY
May 7, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 31, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 26, 2003 - September 27, 2007
WELLS FARGO CLEARING SERVICES, LLC
December 12, 2001 - September 27, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1997 - December 11, 2001
MORGAN STANLEY DW INC.
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
Current Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
