Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam David is a financial advisor with UBS Financial Services Inc. based in Charlotte, North Carolina. William David has been registered with FINRA since December 22, 2023. William David has 1 approved state registration and has passed the Uniform Combined State Law Examination, General Securities Representative Examination and the Securities Industry Essentials Examination. William David's branch office is located at 11325 NORTH COMMUNITY HOUSE ROAD, SUITE 600 in Charlotte, North Carolina.
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
NC
12/22/2023 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
BOTH
Issued 11/03/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/22/2023
Series 7TO - General Securities Representative Examination
BC
Issued 02/15/2023
SIE - Securities Industry Essentials 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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