William B. Klein
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 Bruce Klein, who also goes by Bill Klein, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 10 firms and has passed the Series 63, SIE, 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
June 3, 2005 - December 31, 2015
SOURCE CAPITAL GROUP, INC.
June 20, 2003 - May 19, 2005
BROKER DEALER FINANCIAL SERVICES CORP.
February 26, 2001 - June 22, 2001
COMMERZ MARKETS LLC
October 6, 1998 - February 26, 2001
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
November 24, 1997 - May 15, 1998
KAUFMAN BROS., L.P.
March 26, 1994 - November 20, 1997
GRUNTAL & CO., L.L.C.
June 29, 1992 - May 10, 1993
SOUNDVIEW TECHNOLOGY CORPORATION
March 10, 1988 - June 1, 1992
DEUTSCHE BANK SECURITIES INC.
October 28, 1983 - August 22, 1986
CANTOR FITZGERALD & CO.
May 25, 1983 - December 26, 1984
GREEN HILL FINANCIAL SERVICE CORPORATION
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 1
Date: 5/5/1980
Registered Representative ExaminationCurrent Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
