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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 Earle Dodd, III is a financial advisor with over 45 years of experience in the industry. William Earle Dodd, III is currently registered with UBS Financial Services Inc. William Earle Dodd, III has been registered with UBS Financial Services Inc. since January 1995. Previously, William Earle Dodd, III was registered with KIDDER, PEABODY & CO. INCORPORATED. William Earle Dodd, III has held a variety of licenses and registrations over the years, including Series 7, Series 10, Series 24, Series 3, Series 63, and Series 65.
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
GA
01/28/1995 - Present
UBS Financial Services Inc. (ATLANTA GA)
NY
05/19/1978 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
11/16/1977 - 05/19/1978
KIDDER, PEABODY & CO., INCORPORATED
IA
Issued 01/08/1990
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/10/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/31/1989
Series 24 - General Securities Principal Examination
BC
Issued 08/02/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/1990
Series 3 - National Commodity Futures Examination
BC
Issued 10/15/1977
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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