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WM

William A. Moler

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CRD#: 862999
WM

Professional summary

William Arthur Moler 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 1979. Prior to being barred, William had worked at 13 firms, which includes LUMIERE SECURITIES INC., STRATEGIC RESOURCE MANAGEMENT INC., BURNETT GREY & CO. INC., WILLIAM BARTON FINANCIAL INC., TRI-BRADLEY INVESTMENTS, MALONE & ASSOCIATES INC., FIRST EASTERN SECURITIES CORPORATION, SECO SECURITIES INC., R.B. MARICH INC., WALL STREET WEST INC., ENGLER-BUDD & COMPANY INC., FIRST FINANCIAL SECURITIES INC., FIRST COLORADO INVESTMENTS & SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 24, 1997 - October 22, 1998

LUMIERE SECURITIES, INC.

BD
CRD#: 13414
DENVER, CO
Past

January 20, 1992 - February 8, 1999

STRATEGIC RESOURCE MANAGEMENT, INC.

BD
CRD#: 28974
AURORA, CO
Past

February 21, 1991 - January 28, 1992

BURNETT, GREY & CO., INC.

BD
CRD#: 23430
ATLANTA, GA
Past

January 5, 1989 - February 20, 1991

WILLIAM BARTON FINANCIAL, INC.

BD
CRD#: 13893
Past

August 26, 1986 - January 9, 1989

TRI-BRADLEY INVESTMENTS

BD
CRD#: 14208
Past

December 23, 1985 - September 2, 1986

MALONE & ASSOCIATES, INC.

BD
CRD#: 10412
Past

July 15, 1985 - December 3, 1985

FIRST EASTERN SECURITIES CORPORATION

BD
CRD#: 14514
Past

October 3, 1984 - June 3, 1985

SECO SECURITIES, INC.

BD
CRD#: 5363
Past

September 23, 1983 - September 17, 1984

R.B. MARICH, INC.

BD
CRD#: 13227
Past

August 24, 1982 - September 12, 1983

WALL STREET WEST, INC.

BD
CRD#: 7529
Past

May 6, 1981 - September 13, 1982

ENGLER-BUDD & COMPANY INC.

BD
CRD#: 1743
Past

May 18, 1979 - April 18, 1981

FIRST FINANCIAL SECURITIES, INC.

BD
CRD#: 6758
Past

February 26, 1979 - June 14, 1979

FIRST COLORADO INVESTMENTS & SECURITIES, INC.

BD
CRD#: 6929

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/17/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/22/1996
General Securities Principal Examination

Current Firm

LS
LUMIERE SECURITIES, INC.
AFFILIATED INVESTMENT CORPORATION | LUMIERE SECURITIES, INC. | LIK SECURITIES

CRD#: 13414 / SEC#: , 8-29275

BD
Cancelled by SEC on 06/13/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 12/06/1982
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

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.

Company Information

LUMIERE SECURITIES, INC.

CRD#: 13414

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