William H. Weisbrod
Professional summary
William Henry Weisbrod was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, William had worked at 10 firms, which includes KEY CLIENT FIDUCIARY ADVISORS LLC, SEACREST WEALTH MANAGEMENT LLC, PURSHE KAPLAN STERLING INVESTMENTS, WELLS FARGO CLEARING SERVICES LLC, CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, BACHE HALSEY STUART INC., BACHE & CO INCORPORATED, BACHE & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2022 - April 15, 2024
KEY CLIENT FIDUCIARY ADVISORS, LLC
December 1, 2020 - December 9, 2022
SEACREST WEALTH MANAGEMENT, LLC
April 27, 2009 - February 18, 2021
PURSHE KAPLAN STERLING INVESTMENTS
April 22, 2005 - February 6, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 22, 2005 - February 6, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 30, 2002 - May 5, 2005
CITIGROUP GLOBAL MARKETS INC.
November 9, 1998 - May 5, 2005
CITIGROUP GLOBAL MARKETS INC.
June 20, 1980 - November 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 1977 - June 5, 1980
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
September 25, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
Primary Firm SEC Registration
KEY CLIENT FIDUCIARY ADVISORS, LLC
CRD#: 298240 / SEC#: 801-114010
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 10/1/1986
Interest Rate Options ExaminationSeries 15
Date: 8/14/1986
Foreign Currency Options ExaminationSeries 8
Date: 3/20/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KEY CLIENT FIDUCIARY ADVISORS, LLC
CRD#: 298240 / SEC#: 801-114010
Contact information
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 874 |
| AUM (Assets Under Management) | $ 781,985,835 |
Red Flags
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