Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Bane is an investment advisor representative with over 20 years of experience in the financial industry. William is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., working out of their New York, NY branch office. William's previous experience includes roles with UBS Securities LLC and MILLENCO, L.P. William is also registered as an investment advisor representative in Connecticut, New York and Texas. William holds the Series 3, 7, 55, 63 and 65 securities licenses. William specializes in providing financial planning and investment advisory services to individual and institutional clients.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
03/11/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
05/08/2014 - 03/16/2018
UBS SECURITIES LLC (NEW YORK NY)
NY
08/07/2009 - 02/01/2013
UBS SECURITIES LLC (NEW YORK NY)
NY
05/26/2005 - 10/11/2006
MILLENCO, L.P. (NEW YORK NY)
NY
05/13/2004 - 05/10/2005
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
11/20/1998 - 05/07/2004
UBS SECURITIES LLC (NEW YORK NY)
IA
Issued 03/16/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/20/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/06/2009
Series 7 - General Securities Representative Examination
BC
Issued 07/29/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/05/2004
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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