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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 Dozier is an Investment Advisor Representative with Wells Fargo Advisors Financial Network, LLC in Wilmington, NC. William has been in the financial services industry since December 31, 1996. William holds Series 7, 9, 10, 31, 63, and 65 licenses. William also holds a SIE designation. William is registered with the State of North Carolina, and with Alabama, Arizona, California, District of Columbia, Florida, Georgia, Kentucky, Louisiana, Massachusetts, Minnesota, New York, Ohio, Pennsylvania, South Carolina, Texas, Vermont, Virginia, and West Virginia. Prior to joining Wells Fargo Advisors Financial Network, LLC, William was a registered representative with Wells Fargo Clearing Services, LLC from June 15, 2002 to March 1, 2019 and Wachovia Securities, Inc. from January 1, 1997 to June 15, 2002.
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.
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.
Investment consulting services to institutional clients
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.
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NC
03/01/2019 - Present
Wells Fargo Advisors Financial Network, LLC (WILMINGTON NC)
NC
06/15/2002 - 03/01/2019
WELLS FARGO CLEARING SERVICES, LLC (WILMINGTON NC)
NC
01/01/1997 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
IA
Issued 04/02/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/27/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/13/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 12/24/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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