Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Barlow is a financial advisor with over 23 years of experience in the financial services industry. William is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and holds a Series 7, Series 9, Series 10, Series 31, and Series 66 licenses. William has previously worked with RBC Capital Markets Corporation and Legg Mason Wood Walker, Incorporated. William has a diverse set of specializations and provides a wide range of services, including portfolio management, performance measurement reports, allocation modeling, IPS, research reports and services, selection of other advisors, and educational seminars.
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
NC
03/24/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
11/18/2005 - 03/12/2010
RBC CAPITAL MARKETS CORPORATION (CHARLOTTE NC)
NC
01/05/2001 - 11/29/2005
LEGG MASON WOOD WALKER, INCORPORATED (CORNELIUS NC)
NY
09/11/1998 - 01/18/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 09/28/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/18/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/29/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 09/10/1998
Series 7 - General Securities Representative 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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