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WL

William E. Lashbrook

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CRD#: 601353
WL

Professional summary

William Edward Lashbrook was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, William had worked at 10 firms, which includes WELLINGTON SECURITIES INC., LANACO SECURITIES CORPORATION, RAGEN MACKENZIE INVESTMENT SERVICES LLC, INTERPACIFIC INVESTORS SERVICES INC., FREEMAN FINANCIAL SERVICES CORPORATION, AMERICAN PACIFIC SECURITIES CORPORATION, JAMES G. FREEMAN & ASSOCIATES INC., BALANCED PROGRAMS INC., EFC DISTRIBUTORS CORPORATION, INVESCO DISTRIBUTORS INC..

top-8-questions

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 15, 1992 - December 6, 1995

WELLINGTON SECURITIES, INC.

BD
CRD#: 16659
SAN FRANCISCO, CA
Past

June 25, 1990 - October 24, 1991

LANACO SECURITIES CORPORATION

BD
CRD#: 10223
BURLINGAME, CA
Past

January 5, 1987 - November 27, 1989

RAGEN MACKENZIE INVESTMENT SERVICES, LLC

BD
CRD#: 17525
SEATTLE, WA
Past

August 27, 1975 - January 1, 1987

INTERPACIFIC INVESTORS SERVICES, INC.

BD
CRD#: 4879
Past

March 30, 1975 - September 11, 1996

FREEMAN FINANCIAL SERVICES CORPORATION

BD
CRD#: 6722
SAN MATEO, CA
Past

May 3, 1973 - April 20, 1975

INTERPACIFIC INVESTORS SERVICES, INC.

BD
CRD#: 4879
Past

January 5, 1973 - May 30, 1973

AMERICAN PACIFIC SECURITIES CORPORATION

BD
CRD#: 5003
Past

December 21, 1972 - May 30, 1973

JAMES G. FREEMAN & ASSOCIATES, INC.

BD
CRD#: 5457
Past

April 12, 1971 - February 13, 1972

BALANCED PROGRAMS, INC.

BD
CRD#: 1153
Past

December 16, 1970 - March 20, 1971

EFC DISTRIBUTORS CORPORATION

BD
CRD#: 1000003
Past

June 23, 1969 - February 3, 1971

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 289

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
Series 1
Date: 2/17/1964
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 8/3/1972
General Securities Principal Examination

Current Firm

WS
WELLINGTON SECURITIES, INC.
WELLINGTON SECURITIES, INC.

CRD#: 16659 / SEC#: , 8-34337

BD
Terminated by SEC on 12/31/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 06/25/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SAN FRANCISCO RAIL, INC.PARENT COMPANY
SCARCELLO, CHARLES JOHNCHIEF COMPLIANCE OFFICER864622
SCARCELLO, CHARLES JOHNPRESIDENT864622

Disclosures

Regulatory Event3

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

WELLINGTON SECURITIES, INC.

CRD#: 16659

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