William G. Stahm
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 Gene Stahm, who also goes by Bill Stahm, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2012. William had worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2015 - September 1, 2016
NEWPORT COAST SECURITIES, INC.
June 8, 2015 - September 1, 2016
NEWPORT COAST SECURITIES, INC.
October 8, 2012 - April 16, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 30, 2012 - April 16, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
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
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
