Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Charles Neuens is a registered representative with UBS Financial Services Inc. and has been in the financial industry since 1984. William is a licensed securities agent with the state of Colorado and holds the Series 63, Series 7, and SIE securities licenses. William's previous employment includes Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Shearson Lehman/American Express Inc., Vanderbilt Securities, Inc., Quantum Capital Group Inc., and Blinder, Robinson & Co., Inc. William serves clients in Colorado and Wyoming.
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.
See schedule d - miscellaneous
1
2
CO
12/09/2021 - Present
UBS Financial Services Inc. (DENVER CO)
CO
06/01/2009 - 12/17/2010
MORGAN STANLEY SMITH BARNEY (CENTENNIAL CO)
CO
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CENTENNIAL CO)
CO
04/18/1985 - 04/02/2007
MORGAN STANLEY DW INC. (CENTENNIAL CO)
NA
08/10/1984 - 11/27/1984
SHEARSON LEHMAN/AMERICAN EXPRESS INC.
NA
04/03/1984 - 07/30/1984
VANDERBILT SECURITIES, INC.
NA
10/24/1983 - 03/01/1984
QUANTUM CAPITAL GROUP INC.
NA
06/24/1983 - 07/08/1983
BLINDER, ROBINSON & CO.,INC.
BC
Issued 04/30/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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