Articles Tagged with William Sines

William SinesPublic records published by the Financial Industry Regulatory Authority (FINRA) on April 25, 2018 indicate that Florida-based Kalos Capital broker/adviser William Sines has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sines (CRD# 2190586).

William Sines has spent twenty-six years in the securities industry and has been registered with Kalos Capital in Seminole, Florida since 2015. Previous registrations include SII Investments in Seminole, Florida (1997-2015); Pruco Securities Corporation in Newark, New Jersey (1991-1997); and the Prudential Insurance Company of America in Newark, New Jersey (1991-1993). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 17, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 12, 1994; Series 62 (Corporate Securities Limited Representative Examination), which he obtained on July 27, 1998; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 31, 1991; and Series 24 (General Securities Principal Examination), which he obtained on September 16, 1999. He is a registered broker and investment adviser with 12 US states and territories: Arizona, Colorado, Florida, Indiana, Massachusetts, Michigan, New York, North Carolina, Ohio, Pennsylvania, Virginia, and Washington.

According to his BrokerCheck report, he has received two customer complaints and one denied customer complaint.