William H. Prince
Professional summary
William Howard Prince was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, William had worked at 19 firms, which includes JACKSON KOHLE & CO., AMERICAN FRONTEER FINANCIAL CORPORATION, SPECTRUM SECURITIES INC., TRIQUEST FINANCIAL INC., PRINCE CAPITAL CORPORATION, P.B. JAMESON & CO.INC., FIRST AFFILIATED SECURITIES INC., LPL FINANCIAL LLC, DAIN RAUSCHER INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, E. F. HUTTON & COMPANY INC, CITIGROUP GLOBAL MARKETS INC., BOETTCHER & COMPANY INC., UNITY SECURITIES CORPORATION, COMSTOCK SECURITIES LIMITED, KIDDER PEABODY & CO. INCORPORATED, DICKINSON & CO., WILSON-DAVIS & CO. INC., ADVANTAGE CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 1997 - June 10, 2004
JACKSON KOHLE & CO.
January 26, 1995 - September 15, 1995
AMERICAN FRONTEER FINANCIAL CORPORATION
May 27, 1994 - December 31, 1994
SPECTRUM SECURITIES, INC.
March 13, 1991 - April 28, 1992
TRIQUEST FINANCIAL, INC.
July 24, 1990 - July 25, 1990
PRINCE CAPITAL CORPORATION
November 20, 1985 - July 24, 1989
P.B. JAMESON & CO.,INC.
January 20, 1984 - August 20, 1985
FIRST AFFILIATED SECURITIES, INC.
June 6, 1983 - February 25, 1984
LPL FINANCIAL LLC
July 21, 1982 - June 23, 1983
DAIN RAUSCHER INCORPORATED
September 9, 1981 - August 5, 1982
PRUDENTIAL EQUITY GROUP, LLC
March 9, 1979 - September 4, 1979
E. F. HUTTON & COMPANY INC
January 4, 1978 - February 25, 1979
CITIGROUP GLOBAL MARKETS INC.
May 10, 1977 - December 21, 1977
BOETTCHER & COMPANY, INC.
March 1, 1977 - June 10, 1977
E. F. HUTTON & COMPANY INC
December 1, 1972 - September 25, 1975
UNITY SECURITIES CORPORATION
June 1, 1972 - November 20, 1972
COMSTOCK SECURITIES, LIMITED
February 23, 1972 - June 24, 1972
KIDDER, PEABODY & CO., INCORPORATED
September 28, 1971 - April 10, 1972
DICKINSON & CO.
January 13, 1971 - October 3, 1971
WILSON-DAVIS & CO., INC.
February 24, 1970 - March 16, 1971
ADVANTAGE CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 3/16/1982
Interest Rate Options ExaminationSeries 1
Date: 12/5/1966
Registered Representative ExaminationSeries 40
Date: 1/5/1970
Registered Principal ExaminationCurrent Firm
JACKSON KOHLE & CO.
CRD#: 17788 / SEC#: , 8-35084
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAND, JEHU THOMAS DEGEROLD | PRESIDENT, AMLCO | 2251304 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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