William K. Collings
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 Kenneth Collings, who also goes by Bill Collings, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1979. William had worked at 11 firms and has passed the Series 63, Series 5, Series 7 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
March 31, 1989 - February 20, 1990
MUTUAL SERVICE CORPORATION
August 31, 1988 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
December 4, 1987 - August 30, 1988
AMERICAN CAPITAL EQUITIES, INC.
January 13, 1987 - November 25, 1987
SFG BROKERAGE COMPANY
November 28, 1984 - December 23, 1986
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 13, 1984 - November 21, 1984
MORGAN STANLEY DW INC.
October 24, 1983 - June 19, 1984
UBS FINANCIAL SERVICES INC.
April 29, 1982 - November 8, 1983
ALMSTEDT BROTHERS, INC.
April 26, 1982 - November 4, 1983
J.C. BRADFORD & CO.
January 29, 1982 - November 1, 1983
ALEXANDER INVESTMENT SERVICES CO.
December 17, 1979 - October 16, 1981
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
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 5
Date: 10/28/1982
Interest Rate Options ExaminationSeries 1
Date: 12/9/1979
Registered Representative ExaminationCurrent Firm
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
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.
