William K. Bunn
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 Keith Bunn, who also goes by Bill Bunn, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 9 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 1, Series 8, Series 40, Series 4 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
March 9, 1995 - October 6, 1999
ADVEST, INC.
October 9, 1990 - March 14, 1995
RAYMOND JAMES & ASSOCIATES, INC.
August 7, 1981 - September 13, 1990
MORGAN STANLEY DW INC.
January 31, 1980 - March 14, 1986
UBS FINANCIAL SERVICES INC.
July 12, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 25, 1976 - August 30, 1976
BACHE HALSEY STUART INC.
April 8, 1975 - June 25, 1976
BACHE & CO INCORPORATED
August 17, 1971 - May 1, 1975
E. F. HUTTON & COMPANY INC
July 29, 1969 - September 6, 1971
WALSTON AND COMPANY 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
Series 15
Date: 12/10/1986
Foreign Currency Options ExaminationSeries 5
Date: 2/6/1982
Interest Rate Options ExaminationSeries 1
Date: 7/25/1969
Registered Representative ExaminationSeries 8
Date: 1/19/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 5/1/1978
Registered Principal ExaminationSeries 12
Date: 7/1/1976
NYSE Branch Manager ExaminationCurrent Firm
ADVEST, INC.
CRD#: 10 / SEC#: , 8-21409
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVEST GROUP, INC. | PARENT COMPANY OF ADVEST, INC. | |
| DIAMOND, JASON HOWARD | C.F.O. | 2320884 |
| DOYLE, SCOTT JOHN | SROP | 2100219 |
| FREITAG, WILLIAM CHRISTIAN | C.C.O. | 1732667 |
| HOROWITZ, DAVID ADAM | DIRECTOR | 1827880 |
| KUCKRO, LEE GERARD | C.L.O. | 1318309 |
| MCINTOSH, LAWRENCE FORBES | C.R.O.P. | 1571279 |
| MULLANE, DANIEL JOSEPH | PRESIDENT AND CEO | 1246435 |
| WELLINGTON, JOHN HOLMES SR | DIRECTOR - C.O.O. | 1314741 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 53 |
Red Flags
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