William K. Schroff
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 Kenneth Schroff was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 7 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 1985 - July 20, 1988
SECURITIES USA, INC.
March 8, 1983 - December 6, 1984
VANTAGE SECURITIES OF COLORADO, INC.
January 25, 1982 - March 5, 1986
THE WESTFIN CORPORATION
March 2, 1981 - October 28, 1981
WALFORD, DEMARET & CO., INC.
June 22, 1978 - April 6, 1981
DICKINSON & CO.
February 17, 1976 - May 13, 1978
LOEWI & CO., INCORPORATED
October 29, 1970 - January 11, 1976
DREXEL BURNHAM
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: 10/26/1970
Registered Representative ExaminationCurrent Firm
SECURITIES USA, INC.
CRD#: 14799 / SEC#: , 8-32410
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
