William E. Puffer
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 Edmund Puffer was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 5 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2004 - July 5, 2007
AMERICAN INVESTORS COMPANY
May 9, 1984 - April 20, 2000
ASSOCIATED SECURITIES CORP.
April 26, 1972 - May 18, 1984
AMERICAN INVESTORS COMPANY
October 29, 1971 - June 11, 1972
GOODWIN & COMPANY
May 5, 1971 - December 20, 1971
ENTERPRISE FUND DISTRIBUTORS, INC.
March 9, 1970 - June 7, 1971
MFB SECURITIES, INC
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
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 1
Date: 5/11/1958
Registered Representative ExaminationCurrent Firm
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
