William M. Dierauer
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 Morgan Dierauer was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1973. William had worked at 24 firms and has passed the Series 63, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2003 - May 20, 2004
GREAT EASTERN SECURITIES, INC.
June 12, 2001 - October 22, 2001
ARJENT LTD.
November 24, 1998 - December 21, 1998
J. ALEXANDER SECURITIES, INC.
September 16, 1996 - September 24, 1996
INVESTORS ASSOCIATES, INC.
April 27, 1994 - September 9, 1994
THE STAMFORD COMPANY, INC.
November 29, 1993 - March 22, 1994
BRILL SECURITIES, INC.
June 15, 1993 - October 5, 1993
M. RIMSON & CO., INC.
April 19, 1993 - May 4, 1993
ALLIED CAPITAL, INC.
December 7, 1992 - March 29, 1993
ADVANCED EQUITY GROUP, INC.
June 12, 1992 - September 23, 1992
REICH & CO., INC.
December 16, 1991 - May 29, 1992
BLUESTONE CAPITAL CORP.
January 10, 1989 - January 17, 1990
J. T. MORAN & CO., INC.
July 13, 1988 - December 22, 1988
GLEACHER & COMPANY SECURITIES, INC.
December 12, 1984 - June 1, 1988
NORTH AMERICAN INVESTMENT CORP.
June 6, 1984 - October 31, 1984
KUHNS BROTHERS & LAIDLAW, INC.
March 7, 1984 - April 23, 1984
ROBERT THOMAS SECURITIES, INC
August 25, 1983 - January 18, 1984
LEHMAN BROTHERS INC.
February 4, 1982 - August 23, 1983
MOSELEY SECURITIES CORPORATION
September 2, 1980 - February 26, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
June 19, 1979 - September 8, 1980
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 4, 1979 - July 7, 1979
BECKER PARIBAS INCORPORATED
February 22, 1978 - January 18, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
May 16, 1975 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
May 17, 1974 - June 3, 1975
FAHNESTOCK INTERNATIONAL INC.
December 14, 1973 - March 1, 1974
SHIELDS & COMPANY INC
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 000
Date: 12/10/1973
General Securities Principal ExaminationSeries 1
Date: 12/10/1973
Registered Representative ExaminationCurrent Firm
GREAT EASTERN SECURITIES, INC.
CRD#: 2061 / SEC#: , 8-16880
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Arbitration | 5 |
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.
