William A. Conklin
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 Allen Conklin, who also goes by Al Conklin, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1959. William had worked at 5 firms and has passed the Series 40 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 1992 - January 3, 2007
ISAAK BOND INVESTMENTS, INC.
October 27, 1981 - May 4, 1990
GKB, INC.
May 9, 1979 - September 8, 1981
GERWIN AND COMPANY
May 5, 1978 - June 1, 1979
DAIN RAUSCHER INCORPORATED
June 30, 1959 - May 5, 1978
BOSWORTH SULLIVAN & COMPANY INCORPORATED
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 40
Date: 2/28/1975
Registered Principal ExaminationCurrent Firm
ISAAK BOND INVESTMENTS, INC.
CRD#: 7413 / SEC#: , 8-21410
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
