William N. Whelen
Professional summary
William Nevins Whelen JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1967. Prior to being barred, William had worked at 5 firms, which includes SIMON SECURITIES INC., FIRST NATIONAL EQUITY CORP., W. N. WHELEN & CO. INC., JANNEY MONTGOMERY SCOTT LLC, ELKINS & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 1996 - December 8, 2000
SIMON SECURITIES, INC.
November 7, 1994 - June 7, 1996
FIRST NATIONAL EQUITY, CORP.
August 23, 1990 - December 9, 1994
SIMON SECURITIES, INC.
January 12, 1977 - April 16, 1990
W. N. WHELEN & CO., INC.
February 10, 1975 - February 13, 1977
JANNEY MONTGOMERY SCOTT LLC
November 1, 1967 - March 6, 1975
ELKINS & CO.
State Registrations and Notice Filings
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Exams
Series 1
Date: 10/30/1967
Registered Representative ExaminationF04
Date: 11/29/1976
Financial Principal ExaminationSeries 40
Date: 11/29/1976
Registered Principal ExaminationCurrent Firm
SIMON SECURITIES, INC.
CRD#: 16746 / SEC#: , 8-35142
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
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