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Detailed Report
William James Novack
BILL NOVACK, WILLIAM JAMES NOVACK SR, WILLIAM JAMES NOVACK
CRD#: 1181334
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20042006200820102012201420162018202020222024IACREATIVE FINANCIAL DESIGNS, INC. (CRD# 109032)2019 - 2021 (1 year)IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2018 - 2019 (1 year)IAONEAMERICA SECURITIES, INC. (CRD# 4173)2017 - 2018 (<1 year)IASIGNATOR INVESTORS, INC. (CRD# 468)2016 - 2017 (1 year)IATRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2004 - 2016 (11 years)
Disclosure(s)
View By:
6/26/2024
Customer Dispute
Settled
3/24/2021
Regulatory
Final
1/25/2021
Employment Separation After Allegations
Previous Registration(s)
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 09/18/2019 - 02/16/2021 CREATIVE FINANCIAL DESIGNS, INC. (CRD#:109032) Monticello, IN
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 08/23/2018 - 09/23/2019 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) Monticello, IN
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 11/09/2017 - 07/19/2018 ONEAMERICA SECURITIES, INC. (CRD#:4173) Monticello, IN
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 05/13/2016 - 11/06/2017 SIGNATOR INVESTORS, INC. (CRD#:468) MONTICELLO, IN
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 10/20/2004 - 05/13/2016 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) MONTICELLO, IN
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.