William A. Zeitler
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 Albert Zeitler was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1977. William had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2016 - March 27, 2019
EMERSON EQUITY LLC
February 10, 2009 - May 15, 2015
NEWPORT COAST SECURITIES, INC.
July 31, 2001 - July 20, 2007
BROOKSTREET SECURITIES CORPORATION
January 4, 1999 - April 8, 1999
JWGENESIS FINANCIAL GROUP, INC
November 28, 1997 - January 4, 1999
CHATFIELD DEAN & CO., INC.
March 10, 1995 - October 31, 1997
BROOKSTREET SECURITIES CORPORATION
January 28, 1992 - September 27, 1994
BROOKSTREET SECURITIES CORPORATION
October 3, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 4, 1979 - January 13, 1990
UBS FINANCIAL SERVICES INC.
January 3, 1977 - September 30, 1979
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
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 15
Date: 1/13/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 12
Date: 10/26/1979
NYSE Branch Manager ExaminationCurrent Firm
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
Contact information
SEC notice filing (32 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 2 |
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.
