William R. Moritz
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 Richard Moritz, who also goes by William Richard Moritz, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1976. William had worked at 11 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 1998 - June 12, 2012
TRI-STAR FINANCIAL
September 3, 1996 - October 28, 1996
D.E. FREY & COMPANY, INC.
March 1, 1994 - August 19, 1996
TRI-STAR FINANCIAL
October 15, 1987 - February 24, 1994
GOVERNMENT SECURITIES CORPORATION
April 13, 1987 - February 24, 1994
GSC SECURITIES, INC.
August 28, 1986 - February 14, 1987
DOVER GROUP, INC.
February 24, 1986 - August 1, 1986
ROBERT W. BAIRD & CO. INCORPORATED
January 26, 1981 - June 26, 1981
MARCUS, STOWELL & BEYE, INC.
April 18, 1979 - April 25, 1980
WESTCAP SECURITIES, L.P.
February 23, 1979 - May 1, 1979
JESUP & LAMONT SECURITIES CO., INC.
September 27, 1978 - February 8, 1979
UMIC, INC.
August 17, 1978 - September 28, 1978
BEVILL, BRESLER & SCHULMAN INCORPORATED
November 30, 1976 - August 29, 1978
WESTCAP SECURITIES, L.P.
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: 8/8/1978
Registered Representative ExaminationCurrent Firm
TRI-STAR FINANCIAL
CRD#: 32458 / SEC#: , 8-46007
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Civil Event | 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.
