Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Sarmiento is a financial advisor with over 10 years of experience in the financial services industry. William is currently registered with Raymond James & Associates, Inc. and is licensed to provide investment advice and securities brokerage services in Alabama, Florida, Georgia, New York and South Carolina. William has a broad range of experience, having previously worked with Morgan Stanley and UBS Financial Services Inc. William holds the Series 7, Series 63, and Series 65 licenses, as well as the SIE exam. William is committed to providing clients with personalized financial advice and services, and is dedicated to helping them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
11/06/2024 - Present
Raymond James & Associates, Inc. (CORAL GABLES FL)
FL
03/21/2013 - 07/19/2017
MORGAN STANLEY (MIAMI BEACH FL)
FL
06/18/2010 - 10/26/2011
MORGAN STANLEY SMITH BARNEY (MIAMI FL)
FL
01/01/2010 - 05/21/2010
UBS FINANCIAL SERVICES INC. (CORAL GABLES FL)
FL
05/06/2008 - 01/01/2010
UBS INTERNATIONAL INC. (CORAL GABLES FL)
IA
Issued 02/06/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/12/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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