Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Douglas Etheridge is a financial advisor at RBC Capital Markets, LLC, a firm with over $259 billion in regulatory assets under management. William has been in the industry since November 1987, and specializes in providing services to high net worth individuals and businesses. William is registered in over 30 states as well as Texas, the Virgin Islands, and Puerto Rico. In addition to his work at RBC Capital Markets, LLC, William also has a side business selling t-shirts.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
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2
NC
03/23/2017 - Present
RBC Capital Markets, LLC (CHARLOTTE NC)
MO
06/15/2002 - 03/07/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
02/22/2000 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NY
11/25/1987 - 02/28/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 01/20/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/24/1997
Series 30 - NFA Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/2003
Series 3 - National Commodity Futures Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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