William E. Kugler
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 Edward Kugler, who also goes by Bill Kugler, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1980. William had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2013 - December 8, 2014
EMERSON EQUITY LLC
June 18, 2012 - September 28, 2012
HERITAGE FINANCIAL SYSTEMS, LLC
January 23, 2012 - May 29, 2012
TIME EQUITIES SECURITIES LLC
September 6, 2011 - December 5, 2011
DEWAAY FINANCIAL NETWORK, LLC
June 24, 2009 - May 2, 2011
PACIFIC CORNERSTONE CAPITAL INCORPORATED
March 23, 2009 - June 23, 2009
AFA FINANCIAL GROUP, LLC
January 2, 2008 - December 31, 2008
AFA FINANCIAL GROUP, LLC
January 4, 2007 - December 31, 2007
SOUTH LAKE AVENUE SECURITIES CORPORATION
May 1, 2003 - December 15, 2006
WELLS INVESTMENT SECURITIES,INC.
October 29, 1998 - April 29, 2003
COREBRIDGE CAPITAL SERVICES, INC.
March 22, 1996 - October 6, 1998
BNY MELLON SECURITIES CORPORATION
August 7, 1980 - December 29, 1995
FEDERATED SECURITIES CORP.
Primary Firm SEC Registration
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
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: 7/30/1980
Registered Representative ExaminationCurrent Firm
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
Contact information
SEC notice filing (32 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 2 |
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.
