William A. Schwind
Professional summary
William Alfred Schwind was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William Alfred Schwind, who also goes by Will Alfred Schwind, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 2002. William had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2008 - January 27, 2010
WELLS FARGO INVESTMENTS, LLC
May 20, 2008 - January 27, 2010
WELLS FARGO INVESTMENTS, LLC
August 3, 2007 - May 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 2007 - May 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2007 - August 13, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - August 13, 2007
CITIGROUP GLOBAL MARKETS INC.
June 29, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
May 6, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
May 25, 2004 - May 6, 2005
ESSEX NATIONAL SECURITIES, LLC
April 17, 2003 - May 6, 2005
ESSEX NATIONAL SECURITIES, LLC
February 8, 2002 - April 17, 2003
A. G. EDWARDS & SONS, INC.
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
Current Firm
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
Red Flags
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