Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Brooke Roulette is a financial advisor with over 39 years of experience in the industry. William is currently registered with Stifel, Nicolaus & Company, Inc. in Pennsylvania, New Jersey and Texas. William previously worked for CITIGROUP GLOBAL MARKETS INC. in New Jersey, RBC DAIN RAUSCHER INC. in New York, TUCKER ANTHONY INCORPORATED in Massachusetts, FAHNESTOCK & CO., INC. in New York, FAHNESTOCK INTERNATIONAL INC. in New York, FAHNESTOCK & CO., INC. in New York, KUHNS BROTHERS & LAIDLAW, INC. in New York, DEAN WITTER REYNOLDS INC. in New York and FIRST INVESTORS CORPORATION in New York. William holds the Series 6, 7, 63, 66 and SIE licenses. William specializes in providing financial advice to individuals, corporations, insurance companies, investment companies, charitable organizations, pension and profit sharing plans, state or municipal government entities, pooled investment vehicles and business development companies.
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.
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
PA
01/08/2020 - Present
Stifel, Nicolaus & Company, Inc. (CONSHOHOCKEN PA)
NJ
12/06/2005 - 05/15/2009
CITIGROUP GLOBAL MARKETS INC. (LAWRENCEVILLE NJ)
NY
03/09/2002 - 12/08/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
03/23/1989 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NA
04/12/1988 - 04/13/1989
FAHNESTOCK & CO., INC.
NA
04/01/1988 - 04/12/1988
FAHNESTOCK INTERNATIONAL INC.
NA
01/29/1988 - 04/01/1988
FAHNESTOCK & CO., INC.
NA
07/14/1987 - 01/29/1988
KUHNS BROTHERS & LAIDLAW, INC.
NA
08/21/1984 - 07/17/1987
DEAN WITTER REYNOLDS INC.
NA
11/23/1983 - 07/24/1984
FIRST INVESTORS CORPORATION
BOTH
Issued 05/17/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/27/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1984
Series 7 - General Securities Representative Examination
BC
Issued 11/22/1983
Series 6 - Investment Company Products/Variable Contracts 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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