WILLIAM EDWARD KETTLER is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 18586 MAIN ST, HUNTINGTON BEACH, CA, 92648.
WILLIAM EDWARD KETTLER has worked at SECURITIES AMERICA, INC. since October 18, 2017
Disclosure History
WILLIAM EDWARD KETTLER has 1 Disclosure Event(s).
Date: April 30, 2012 Category: Employment Separation After Allegations Firm Name: LPL FINANCIAL LLC Termination Type: Discharged Allegations: VIOLATION OF THE FIRM'S DOCUMENT SIGNATURE POLICY AND VIOLATION OF FIRM POLICY REGARDING SELLING AWAY. Broker Comment: MY INTERPRETATION OF SELLING AWAY WAS SELLING A PRODUCT NOT APPROVED BY THE FIRM FOR A COMMISSION. I RECEIVED NO COMMISSION AND THE FIRM (LPL) DEEMED "SELLING AWAY" AS ANY LPL CLIENT ENTERING INTO THE PRIVATE PLACEMENT AS I DID.
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