William L. Reich
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 Lee Reich was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 12 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2006 - March 12, 2020
CROWN CAPITAL SECURITIES, L.P.
March 31, 1999 - November 21, 2006
MUTUAL SERVICE CORPORATION
April 3, 1996 - December 31, 2020
WILLIAM L. REICH & ASSOCIATES, INC.
May 16, 1990 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
September 8, 1988 - May 11, 1990
TERRALYNN WALTERS ASSOCIATES
February 20, 1986 - August 1, 1988
GAF FINANCIAL AND INSURANCE SERVICES
June 13, 1985 - August 11, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
November 2, 1982 - June 5, 1985
TITAN/VALUE EQUITIES GROUP, INC.
March 18, 1980 - December 31, 1984
QUAIL PLACE SECURITIES CORP.
October 9, 1979 - April 7, 1980
TITAN/VALUE EQUITIES GROUP, INC.
September 13, 1976 - November 3, 1979
CAPITOL SECURITIES COMPANY
January 29, 1973 - October 20, 1976
INTERNATIONAL SECURITIES CORP.
September 19, 1972 - March 9, 1973
PUTNAM FUND DISTRIBUTORS, INC.
January 30, 1969 - October 18, 1972
INTERNATIONAL SECURITIES CORP.
December 13, 1968 - November 10, 1972
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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: 12/3/1968
Registered Representative ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| 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.
