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 Sly is a financial advisor with over 30 years of experience in the financial services industry. William has a strong track record of providing financial guidance and investment management services to a wide range of clients, including individuals, families, and businesses. William currently works with Merrill Lynch, Pierce, Fenner & Smith Inc. where he has held a variety of roles, including Financial Advisor. Prior to joining Merrill Lynch, William worked with American Express Financial Advisors Inc. and IDS Life Insurance Company. William is a licensed securities professional, holding the Series 7, 63, and 66 licenses. William is also a registered investment advisor in California and Texas.
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
CA
08/17/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SANTA CLARITA CA)
MN
09/17/1990 - 04/17/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/17/1990 - 04/17/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 05/01/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/17/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/03/2023
Series 7TO - General Securities Representative Examination
BC
Issued 02/27/2023
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/1990
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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