Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Martin is an Investment Advisor Representative with Raymond James & Associates, Inc. William has been in the industry since May 1987. William has a branch office located in Mason City, IA. William has a Series 65 and Series 63 license. William is registered with the states of Alabama, Arizona, Arkansas, California, Colorado, Florida, Hawaii, Idaho, Illinois, Iowa, Kansas, Massachusetts, Minnesota, Montana, New York, North Carolina, Ohio, South Carolina, South Dakota, Tennessee, Texas, Utah and Virginia. William has also passed the Series 3, 7, 31, and SIE exams. William has a rental real estate business. William has previously been employed by UBS Financial Services Inc. and Piper Jaffray & Co.
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
IA
03/05/2007 - Present
Raymond James & Associates, Inc. (Mason City IA)
IA
08/12/2006 - 03/21/2007
UBS FINANCIAL SERVICES INC. (MASON CITY IA)
IA
05/21/1987 - 08/12/2006
PIPER JAFFRAY & CO. (MASON CITY IA)
IA
Issued 04/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/03/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/13/1989
Series 3 - National Commodity Futures Examination
BC
Issued 05/16/1987
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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