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WILLIAM PRESCOTT WOLCOTT JR
WILLIAM PRESCOTT WOLCOTT
CRD#: 2383997
IA
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MORGAN STANLEYCRD#: 149777 555 California Street
PWM
San Francisco, CA 94104
PWM
San Francisco, CA 94104
0
Disclosures
27
Years of Experience
View By:
State Registrations
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Arizona 7/22/2016
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Nebraska 10/11/2019
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Arkansas 10/11/2019
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Nevada 1/27/2017
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California 6/16/2016
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New Hampshire 1/16/2019
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California 9/30/2016
B
New Jersey 3/18/2019
B
Colorado 7/1/2016
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New Mexico 10/11/2019
B
Connecticut 2/27/2018
B
New York 6/20/2016
B
Delaware 8/6/2018
B
North Carolina 4/5/2018
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District of Columbia 1/2/2019
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Ohio 5/23/2017
B
Florida 6/20/2016
B
Oklahoma 2/24/2023
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Georgia 6/25/2018
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Oregon 3/29/2018
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Hawaii 3/29/2018
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Pennsylvania 12/21/2018
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Idaho 6/20/2016
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Rhode Island 5/12/2017
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Illinois 3/29/2018
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South Carolina 3/23/2021
B
Indiana 4/9/2019
B
South Dakota 6/14/2021
B
Iowa 7/17/2023
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Tennessee 10/11/2019
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Kansas 3/29/2018
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Texas 9/18/2017
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Kentucky 10/11/2019
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Texas 4/23/2020
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Maryland 1/2/2019
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Utah 12/11/2018
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Massachusetts 9/12/2016
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Vermont 7/2/2018
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Michigan 2/8/2017
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Virginia 3/29/2018
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Minnesota 7/23/2019
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Washington 6/20/2016
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Mississippi 10/11/2019
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Wisconsin 3/29/2018
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Montana 12/11/2018
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Wyoming 8/15/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/30/2016
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Registered with this firm since 6/16/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/25/2010 - 07/15/2016 | SAN FRANCISCO, CA | |
B | 02/24/2006 - 09/01/2009 | SAN FRANCISCO, CA | |
B | 03/21/2005 - 02/27/2006 | SANTA MONICA, CA | |
B | 02/01/2000 - 02/18/2005 | NEW YORK, NY | |
B | 02/23/2001 - 05/01/2001 | NEW YORK, NY | |
B | 04/01/1999 - 02/01/2000 | SAN FRANCISCO, CA | |
B | 02/25/1999 - 03/19/1999 | ||
B | 04/21/1997 - 02/24/1999 | SAN FRANCISCO, CA |
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B
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.