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William R. Palmer

FINANCIAL NORTHEASTERN SECURITIES
Fairfield, NJ 07004
Some features on this profile are disabled
CRD#: 6009759
WP

Professional summary

William Robert Palmer is a registered financial professional currently at FINANCIAL NORTHEASTERN SECURITIES, INC. located in Fairfield, New Jersey.

William is registered as a RR (Registered Representative) and started their career in finance in 2012. William has worked at 1 firm and has passed the SIE and Series 99 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Robert Palmer's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 13, 2012 - Present

FINANCIAL NORTHEASTERN SECURITIES, INC.

Office #1: 100 Passaic Avenue, Fairfield, NJ 07004
RIA
BD
CRD#: 17007
Fairfield, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 9/12/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

FN
FINANCIAL NORTHEASTERN SECURITIES, INC.
FINANCIAL NORTHEASTERN SECURITIES, INC. | FNC INVESTMENTS CORPORATION

CRD#: 17007 / SEC#: , 8-34883

California
Registered Investment Advisory firm - SEC (8/11/2011 Terminated)
Florida
Registered Investment Advisory firm - SEC (2/28/2002 Approved)
New Jersey
Registered Investment Advisory firm - SEC (6/23/2000 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
100 Passaic Avenue One Greenbrook Corporate Center, Fairfield, NJ 07004
Mailing Address
100 Passaic Avenue 100, Fairfield, NJ 07004
Phone number
(973) 882-9337
Established
New Jersey since 02/14/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
42

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ZAGE, JEFFREY PCEO, PRESIDENT, GP1286688
ZAGE, STEVEN MARTINVP, SEC1314965
KISS, SANDRALIN JOSEPHINEEXEC VP, COO, FINOP, CCO1093671
MILLAHN, FLORENCE ADIRECTOR OF OPERATIONS, ROSFP2786661
MILSTEIN, BARRY MITCHELLEVP1632450

Disclosures

Regulatory Event4

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.

Company Information

FINANCIAL NORTHEASTERN SECURITIES, INC.

CRD#: 17007Fairfield, NJ 07004

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