Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Nelson is a financial advisor with Principal Securities, Inc. William is a registered representative with the firm in North Carolina. William has been in the financial services industry since 1989. William has the Series 6, 7, 24, 51 and 66 licenses. William has over 34 years of experience in the financial services industry.
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.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
NC
08/13/2018 - Present
Principal Securities, Inc. (CHARLOTTE NC)
NA
10/20/1989 - 01/20/1992
PRUCO SECURITIES CORPORATION
NA
10/20/1989 - 01/20/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BOTH
Issued 08/10/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/15/2018
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 04/26/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/2017
Series 7 - General Securities Representative Examination
BC
Issued 10/18/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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