William F. Wuerch
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 Frederick Wuerch was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1973. William had worked at 8 firms and has passed the Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 1988 - June 11, 1991
NATIONAL SECURITIES CORPORATION
August 31, 1981 - August 24, 1988
NATIONAL SECURITIES CORPORATION
February 20, 1981 - August 13, 1981
MARTIN NELSON & CO., INC.
February 8, 1974 - September 13, 1988
GUARDIAN INVESTOR SERVICES LLC
January 8, 1974 - March 10, 1981
INTERPACIFIC INVESTORS SERVICES, INC.
June 20, 1973 - February 8, 1974
GLICOA ASSOCIATES, INC.
April 2, 1973 - June 14, 1973
AMERICAN EXPRESS FINANCIAL CORPORATION
April 2, 1973 - June 14, 1973
AMERIPRISE FINANCIAL SERVICES, LLC
April 2, 1973 - June 14, 1973
IDS LIFE INSURANCE COMPANY
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
Series 1
Date: 3/27/1973
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
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