William C. Piontek
Professional summary
William Chester Piontek was barred by the SEC 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 1976. Prior to being barred, William had worked at 5 firms, which includes D.E. FREY & COMPANY INC., MORGAN STANLEY DW INC., J.P. MORGAN SECURITIES LLC, E. F. HUTTON & COMPANY INC, THE ROBINSON-HUMPHREY COMPANY LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1994 - August 16, 1999
D.E. FREY & COMPANY, INC.
March 18, 1982 - March 7, 1994
MORGAN STANLEY DW INC.
July 25, 1980 - March 24, 1982
J.P. MORGAN SECURITIES LLC
July 14, 1978 - August 7, 1980
E. F. HUTTON & COMPANY INC
October 21, 1976 - June 26, 1978
THE ROBINSON-HUMPHREY COMPANY, LLC
State Registrations and Notice Filings
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Exams
PC
Date: 5/1/1977
AMEX Put and Call ExamCurrent Firm
D.E. FREY & COMPANY, INC.
CRD#: 23595 / SEC#: , 8-40582
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 4 |
| Arbitration | 8 |
Red Flags
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