William B. Kunze
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 Birch Kunze, who also goes by Bill Kunze, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1976. William had worked at 7 firms and has passed the Series 63 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 23, 1998 - May 22, 2002
SOUTHERN FINANCIAL GROUP, INC.
June 11, 1997 - March 17, 1998
WALNUT STREET SECURITIES, INC.
February 9, 1996 - June 26, 1997
ADVANTAGE CAPITAL CORPORATION
August 15, 1994 - December 31, 1995
ADVANTAGE CAPITAL CORPORATION
March 8, 1994 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
July 20, 1989 - December 31, 1993
TOWER SQUARE SECURITIES, INC.
August 20, 1979 - December 11, 1980
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 3, 1977 - September 1, 1989
HIMCO DISTRIBUTION SERVICES COMPANY
September 8, 1976 - August 17, 1989
G. R. PHELPS & CO., 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 1
Date: 9/1/1976
Registered Representative ExaminationCurrent Firm
SOUTHERN FINANCIAL GROUP, INC.
CRD#: 16714 / SEC#: , 8-34534
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ATLANTIC SECURITIES EXCHANGE, INC. | OWNERSHIP | |
| BANK, FRANK TOM | EXECUTIVE VICE PRESIDENT/MUNICIPAL PRINCIPAL | 500594 |
| COLLINS, CLELLAND DAVID JR | SECRETARY, EXC. VICE PRES. | 2331596 |
| MAURER, MARK HENRY | EXECUTIVE VICE PRESIDENT/OPERATIONS/DIRECTOR OF COMPLIANCE/ SROP/CROP | 1496683 |
| WOOTEN, RICHARD MCNAIR | CHAIRMAN/CFO, PRESIDENT/CEO |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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.
