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WK

William T. Keigler

Some features on this profile are disabled
CRD#: 6132923
WK

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 Thomas Keigler was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2013. William had worked at 3 firms and has passed the SIE and Series 79 exams.

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

June 10, 2014 - June 30, 2016

SHOT TOWER SECURITIES LLC

BD
CRD#: 169678
Baltimore, MD
Past

February 6, 2014 - June 19, 2014

SC&H CAPITAL CORPORATION

BD
CRD#: 148291
BALTIMORE, MD
Past

January 15, 2013 - January 13, 2014

M&T SECURITIES, INC.

BD
CRD#: 17358
BALTIMORE, MD

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: 6/30/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 1/14/2013
Investment Banking Registered Representative Examination

Current Firm

ST
SHOT TOWER SECURITIES LLC
SHOT TOWER SECURITIES LLC

CRD#: 169678 / SEC#: , 8-69380

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 21210
Mailing Address
Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 21210
Phone number
(410) 376-7900
Established
Delaware since 09/26/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SHOT TOWER CAPITAL LLCMANAGING MEMBER
DUNN, DAVID ROBERTPRESIDENT, CEO, CCO, EXECUTIVE REP., AML SUPERVISOR3116967
HOPKINS, THOMAS JOHNFINOP1835087
LAW, ROBERT WAYNE JRCOO5008275

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

SHOT TOWER SECURITIES LLC

CRD#: 169678

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