WILLIAM ALLEN NORTHCUTT is currently employed as a Broker and/or Investment Adviser at J.J.B. HILLIARD, W.L. LYONS, LLC located at 500 WEST JEFFERSON ST., LOUISVILLE, KY, 40202.

WILLIAM ALLEN NORTHCUTT has worked at J.J.B. HILLIARD, W.L. LYONS, LLC since September 25, 1968

Disclosure History

WILLIAM ALLEN NORTHCUTT has 1 Disclosure Event(s).

Date: April 30, 1981
Category: Regulatory

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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