Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Stanton is a financial advisor with UBS Financial Services Inc., with over 20 years of experience in the financial services industry. William has been registered with the Securities and Exchange Commission since 1996 and holds a Series 7, Series 9, Series 10, Series 63, and Series 65 licenses. William also holds the Certified Financial Planner designation. William is registered in 15 states, and he is a member of FINRA. William focuses on providing financial planning, portfolio management and investment advisory services to a range of clients, including individuals, families, businesses, and institutions. William is committed to providing his clients with personalized and comprehensive financial advice.
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
NJ
11/01/2021 - Present
UBS Financial Services Inc. (PARAMUS NJ)
NY
10/01/2008 - 08/03/2021
J.P. MORGAN SECURITIES LLC (New Hyde Park NY)
NY
09/06/2007 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
11/23/2005 - 06/20/2006
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
BC
Issued 02/22/2006
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/27/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/27/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/2005
Series 7 - General Securities Representative Examination
BC
Issued 07/23/1996
Series 2 - Non-Member General Securities 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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