William E. Lacewell
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 Edwin Lacewell, who also goes by William E. Lacewell, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2003. William had worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2011 - December 31, 2013
FIRST INDEPENDENT ADVISORY SERVICES, INC.
July 1, 2011 - December 31, 2013
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
May 29, 2009 - July 14, 2011
SUTTERFIELD FINANCIAL GROUP, INC.
January 5, 2009 - June 30, 2011
PURSHE KAPLAN STERLING INVESTMENTS
October 31, 2008 - December 31, 2008
OSAIC SERVICES, INC.
December 18, 2007 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
March 21, 2003 - December 31, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
FIRST INDEPENDENT ADVISORY SERVICES, INC.
CRD#: 132678 / SEC#:
Contact information
Red Flags
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