Wilfred A. Soucy
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.
Wilfred Alexander Soucy JR was a registered financial professional .
Wilfred is a previously registered financial professional and started their career in finance in 1979. Wilfred had worked at 4 firms and has passed the Series 65, Series 63, Series 5, 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
January 11, 1994 - February 7, 1995
MCLAUGHLIN CAPITAL MARKETS, INC.
March 2, 1993 - January 1, 1994
J.P. MORGAN SECURITIES LLC
March 31, 1989 - February 18, 1993
GRUNTAL & CO., L.L.C.
June 1, 1981 - March 30, 1989
J.P. MORGAN SECURITIES LLC
August 24, 1979 - June 22, 1981
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/9/1981
Interest Rate Options ExaminationSeries 8
Date: 11/4/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MCLAUGHLIN CAPITAL MARKETS, INC.
CRD#: 29770 / SEC#: , 8-44540
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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