Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Lacy is a financial advisor with over 30 years of experience. William is currently registered with Stifel, Nicolaus & Company, Inc. in California and Texas. William has previously worked for WELLS FARGO ADVISORS, LLC, A. G. EDWARDS & SONS, INC., PRUDENTIAL SECURITIES INCORPORATED, FIRST CAPITAL INVESTMENT CORPORATION and INVESTMENT MANAGEMENT & RESEARCH, INC. William's professional licenses and certifications include Series 3, 7, 8, 9, 10, 63 and 65. William specializes in financial planning, portfolio management and pension consulting. William holds multiple designations and is a member of various professional organizations.
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.
1
2
CA
10/09/2013 - Present
Stifel, Nicolaus & Company, Inc. (PALM DESERT CA)
CA
01/01/2008 - 04/29/2010
WELLS FARGO ADVISORS, LLC (PALM DESERT CA)
CA
06/29/1993 - 01/03/2008
A. G. EDWARDS & SONS, INC. (PALM DESERT CA)
NY
06/19/1987 - 06/30/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
04/26/1985 - 05/08/1987
FIRST CAPITAL INVESTMENT CORPORATION
NA
12/21/1983 - 11/13/1984
INVESTMENT MANAGEMENT & RESEARCH, INC
IA
Issued 08/26/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/20/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/21/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/1987
Series 3 - National Commodity Futures Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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