Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Ferry is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 20 years of experience in the financial services industry. William has been registered with FINRA since 2002 and is licensed in 52 states and territories. William is a licensed Series 7, Series 63, Series 66, and Series 52TO General Securities Representative, a Series 9 and Series 10 General Securities Sales Supervisor, and holds the Series 4 Registered Options Principal, Series 24 General Securities Principal, and Series 53 Municipal Securities Principal designations. William specializes in providing investment advice and financial planning services to individuals, corporations, and high-net-worth individuals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NC
03/24/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
09/17/2002 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 12/02/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/31/2002
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 10/09/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/22/2006
Series 4 - Registered Options Principal Examination
BC
Issued 03/16/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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