William E. Cole
Professional summary
William Eugene Cole was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial advisor and started their career in finance in 2002. Prior to being barred, William had worked at 3 firms, which includes BRUNDYN SECURITIES INC., FREEDOM CAPITAL ADVISORS LLC, GEEK SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2004 - April 30, 2004
BRUNDYN SECURITIES INC.
September 30, 2002 - December 9, 2003
FREEDOM CAPITAL ADVISORS, LLC
February 15, 2002 - March 13, 2002
GEEK SECURITIES, 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
BRUNDYN SECURITIES INC.
CRD#: 124493 / SEC#: , 8-65684
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRUNDYN SECURITIES HOLDINGS, LLC | SHAREHOLDER | |
| BRUNDYN SECURITIES CAPITAL, LLC | SHAREHOLDER | |
| STOUT, ROBERT WESLEY | PRESIDENT & FINOP | 1356443 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
