William W. Caulkins
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 Wells Caulkins was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1976. William had worked at 10 firms and has passed the Series 65, Series 63, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2010 - October 16, 2012
B. RILEY WEALTH MANAGEMENT
September 18, 2009 - July 14, 2010
JESUP & LAMONT SECURITIES CORP
August 2, 2007 - September 21, 2009
MOORS & CABOT, INC.
May 1, 2003 - September 21, 2009
MOORS & CABOT, INC.
March 20, 2002 - October 23, 2002
WELLS FARGO SECURITIES, LLC
January 23, 2002 - October 23, 2002
WELLS FARGO SECURITIES, LLC
October 12, 2001 - May 13, 2003
WELLS FARGO INVESTMENTS, LLC
June 15, 2001 - January 7, 2002
WELLS FARGO SECURITIES, LLC
June 15, 2001 - May 13, 2003
WELLS FARGO INVESTMENTS, LLC
February 1, 2000 - June 29, 2001
J.P. MORGAN SECURITIES INC.
May 25, 1984 - February 1, 2000
HAMBRECHT & QUIST LLC
May 19, 1978 - June 8, 1984
KIDDER, PEABODY & CO. INCORPORATED
July 29, 1977 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
December 1, 1976 - October 6, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 2/28/1979
AMEX Put and Call ExamCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 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.
