Herbert A. Wilson
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.
Herbert Astor Wilson was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1968. Herbert had worked at 14 firms and has passed the Series 63, Series 7, PC and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 1991 - May 6, 1992
FAIC SECURITIES, INC.
May 25, 1988 - October 17, 1990
INVESTACORP, INC.
July 29, 1987 - January 19, 1988
THOMSON MCKINNON SECURITIES INC.
June 13, 1984 - January 28, 1985
YOUNG, STOVALL AND COMPANY
May 4, 1982 - August 27, 1984
UBS FINANCIAL SERVICES INC.
February 8, 1980 - May 10, 1982
E. F. HUTTON & COMPANY INC
November 27, 1979 - March 1, 1980
HANAUER, STERN & COMPANY,INCORPORATED
April 17, 1978 - October 2, 1979
HAMILTON/COOKE & CO. OF FLORIDA, INC.
March 7, 1977 - April 23, 1978
FIRST EQUITY CORPORATION OF FLORIDA
June 4, 1976 - February 17, 1977
DOMIK CORP.
June 30, 1975 - May 1, 1976
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
January 4, 1973 - October 6, 1973
A. G. EDWARDS & SONS, INC.
February 17, 1972 - February 5, 1973
MAIN STREET MANAGEMENT COMPANY
April 8, 1968 - March 28, 1972
STETSON SECURITIES CORPORATION
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
PC
Date: 6/30/1981
AMEX Put and Call ExamSeries 00
Date: 12/6/1968
General Securities Principal ExaminationCurrent Firm
FAIC SECURITIES, INC.
CRD#: 8323 / SEC#: , 8-25069
Contact information
Documents
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.
