Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Deveraux Ward is a financial advisor with Cetera Investment Advisers LLC. William has been a financial advisor since February 18, 1989 and has been registered with the state of Connecticut since November 12, 2020. William has worked at several firms throughout his career including First Allied Securities, Inc., First Montauk Securities Corp., Wachovia Securities, LLC, First Albany Corporation, Josephthal Lyon & Ross Incorporated, Josephthal & Co., Inc., W.J. Nolan & Company, Inc., and The Stuart-James Company, Incorporated. William holds licenses for Series 63, Series 65, Series 7, SIE and Series 99TO. Cetera Investment Advisers LLC is a registered investment advisor with the Securities and Exchange Commission (SEC). Cetera Investment Advisers LLC provides financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses.
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.
A percentage of the total value of assets under management is charged.
1
2
CT
11/12/2020 - Present
Cetera Investment Advisers LLC (NORWALK CT)
CT
12/09/2008 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (NORWALK CT)
CT
05/27/2005 - 12/09/2008
FIRST MONTAUK SECURITIES CORP. (NORWALK CT)
MO
08/05/2000 - 05/31/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
03/18/1997 - 08/05/2000
FIRST ALBANY CORPORATION (NEW YORK NY)
NY
10/10/1991 - 02/19/1997
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
NA
08/23/1990 - 10/23/1991
JOSEPHTHAL & CO., INC.
NY
01/24/1989 - 10/24/1990
W.J. NOLAN & COMPANY, INC. (NEW YORK NY)
NA
01/24/1989 - 02/14/1989
THE STUART-JAMES COMPANY, INCORPORATED
IA
Issued 01/30/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/08/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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