William H. Schrimpf
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 Henry Schrimpf, who also goes by Bill Schrimpf, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1969. William had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC and Series 1 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2012 - March 11, 2022
LANDOLT SECURITIES, INC.
May 18, 2007 - November 20, 2012
ADVANCED EQUITIES, INC.
May 18, 2007 - November 20, 2012
ADVANCED EQUITIES, INC.
May 10, 2004 - May 23, 2007
AMERIPRISE ADVISOR SERVICES, INC.
May 10, 2004 - May 23, 2007
AMERIPRISE ADVISOR SERVICES, INC.
July 1, 2003 - May 21, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - May 21, 2004
WELLS FARGO CLEARING SERVICES, LLC
November 4, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 25, 1994 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 20, 1992 - May 18, 1994
UBS FINANCIAL SERVICES INC.
February 23, 1989 - April 28, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 1981 - February 27, 1989
THOMSON MCKINNON SECURITIES INC.
July 16, 1979 - March 13, 1981
LEHMAN BROTHERS INC.
January 18, 1978 - July 16, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
December 15, 1972 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
December 22, 1969 - December 15, 1972
HORNBLOWER & WEEKS-HEMPHILL NOYES
Primary Firm SEC Registration
LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: 801-135200, 8-43645
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
What does exam status mean?
Series 7TO
Passed: 1/2/2023
General Securities Representative ExaminationPC
Passed: 6/22/1977
AMEX Put and Call ExamCurrent Firm
LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: 801-135200, 8-43645
Contact information
SEC notice filing (14 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 301 |
| AUM (Assets Under Management) | $ 137,829,035 |
Disclosures
| Regulatory Event | 5 |
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.
