Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Gourd is an Investment Advisor Representative at UBS Financial Services Inc. William has 34 years of experience in the securities industry. William is registered with the state of Connecticut, New York, Rhode Island, and Texas. William has a Series 7, Series 9, Series 10, Series 24, Series 3, Series 63, and Series 66 licenses. William also holds a Bachelor of Arts degree in Economics from Fordham University. In addition to William's work at UBS Financial Services Inc., William is also a member of the advisory board for Pet's Best Life.
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
CT
10/10/2008 - Present
UBS Financial Services Inc. (STAMFORD CT)
CT
09/22/2008 - 10/08/2008
BARCLAYS CAPITAL INC. (GREENWICH CT)
CT
03/28/2005 - 09/22/2008
LEHMAN BROTHERS INC. (GREENWICH CT)
NY
05/01/2001 - 03/29/2005
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
01/15/1995 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
09/22/1987 - 01/06/1995
SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 03/20/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/30/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/2001
Series 24 - General Securities Principal Examination
BC
Issued 02/05/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/31/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2005
Series 3 - National Commodity Futures Examination
BC
Issued 09/19/1987
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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