Individual Firm
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WILLIAM CHARLES VOURLAS
WILL VOURLAS
CRD#: 4433072
IA
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CALTON & ASSOCIATES, INC.CRD#: 20999 SAN DIEGO, CA
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3/26/2013
Employment Separation After Allegations
State Registrations
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Arizona 9/24/2013
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North Carolina 1/4/2024
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California 8/15/2013
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Texas 4/16/2018
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California 8/15/2013
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/23/2013 - 06/28/2013 | SAN DIEGO, CA | |
B | 05/23/2013 - 06/28/2013 | SAN DIEGO, CA | |
IA | 10/01/2012 - 04/26/2013 | IMPERIAL BEACH, CA | |
B | 10/01/2012 - 04/26/2013 | IMPERIAL BEACH, CA | |
IA | 12/03/2009 - 10/01/2012 | IMPERIAL BEACH, CA | |
B | 12/03/2009 - 10/01/2012 | IMPERIAL BEACH, CA | |
IA | 06/16/2008 - 12/01/2009 | SAN DIEGO, CA | |
B | 05/13/2008 - 12/01/2009 | SAN DIEGO, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.