William A. Slone
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 Allen Slone, who also goes by William A Rosenthal, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 8 firms and has passed the Series 63, SIE, 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
August 2, 1988 - July 16, 2015
BUELL SECURITIES CORP.
March 5, 1987 - March 14, 1988
ADVEST, INC.
May 31, 1984 - January 29, 1987
E. F. HUTTON & COMPANY INC
September 16, 1977 - June 22, 1984
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
October 7, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
October 30, 1973 - October 30, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 4, 1969 - December 13, 1973
BACHE & CO., INCORPORATED
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: 9/2/1969
Registered Representative ExaminationCurrent Firm
BUELL SECURITIES CORP.
CRD#: 1342 / SEC#: , 8-22058
Contact information
FINRA licenses (21 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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