Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Arnold is a financial advisor at Wells Fargo Clearing Services, LLC. William has been in the financial industry since 1994 and has held positions at firms including Stifel, Nicolaus & Company, Incorporated, Morgan Stanley, Citigroup Global Markets Inc., UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Advantage Capital Corporation and Travelers Equities Sales, Inc. William's focus is on helping clients reach their financial goals. He is a registered investment advisor and holds a number of licenses and certifications, including the Series 6, 7, 10, 31, 63, and 65 exams.
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.
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.
Investment consulting services to institutional clients
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.
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2
MO
12/03/2018 - Present
Wells Fargo Clearing Services, LLC (FRONTENAC MO)
MO
10/11/2012 - 12/27/2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CLAYTON MO)
MO
06/01/2009 - 11/05/2012
MORGAN STANLEY (CLAYTON MO)
IA
04/23/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DAVENPORT IA)
NJ
06/21/2002 - 05/10/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
03/07/1996 - 07/02/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
GA
08/15/1994 - 12/31/1995
ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)
CA
02/23/1994 - 08/15/1994
TRAVELERS EQUITIES SALES, INC. (EL SEGUNDO CA)
IA
Issued 03/20/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/08/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/30/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 03/06/1996
Series 7 - General Securities Representative Examination
BC
Issued 02/22/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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