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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Daniel Brown is a financial advisor in the New York, NY area. William Brown is a registered representative of UBS Financial Services Inc. and is licensed in 53 states. William Brown has been working in the financial services industry for over 12 years. William Brown has a Series 7, Series 10, Series 63, and Series 66. William Brown is also registered as an investment advisor representative. William Brown has a range of experience and expertise in financial planning, portfolio management, pension consulting, and education seminars. William Brown's clients include high-net-worth individuals, corporations, and institutions.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
NJ
10/06/2015 - 10/30/2017
THE GMS GROUP, LLC (EAST HANOVER NJ)
BOTH
Issued 03/22/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/10/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/30/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/16/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/2015
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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