Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Dean Seugling is a financial advisor with Raymond James & Associates, Inc. William has been working in the financial services industry since 1993. William holds a Series 3, 7, 24, 63, and 65 licenses. William has been registered with the Financial Industry Regulatory Authority (FINRA) since 1993. William is a licensed investment advisor in New Jersey and New York.
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.
Please see note in schedule d - miscellaneous
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
NY
06/14/2021 - Present
Raymond James & Associates, Inc. (New York NY)
NY
01/09/2008 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
09/15/1993 - 03/23/2007
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
IA
Issued 01/19/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1996
Series 3 - National Commodity Futures Examination
BC
Issued 09/14/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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