William H. Pluchel
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 Henry Pluchel, who also goes by Bill Pluchel, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1976. William had worked at 4 firms and has passed the Series 65, Series 63, Series 3, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2009 - August 29, 2014
FFEC WEALTH PARTNERS LLC
August 17, 2009 - August 29, 2014
FFEC WEALTH PARTNERS LLC
December 10, 2004 - August 17, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 2, 2004 - August 17, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 24, 1978 - July 6, 2004
MORGAN STANLEY DW INC.
December 1, 1976 - February 24, 1978
REYNOLDS SECURITIES, 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: 4/1/1977
AMEX Put and Call ExamSeries 8
Date: 10/6/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
