Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Rath is a financial advisor with over 25 years of experience in the industry. He has held principal roles at HSBC Securities (USA) Inc., HSBC Brokerage (USA) Inc., Prudential Securities Incorporated, and Lehman Brothers Inc., demonstrating a robust background in financial services. William currently serves as a registered representative for Commonwealth Financial Network and Webster Wealth Advisors, Inc., in Stamford, Connecticut. William specializes in various investment strategies, including stocks, bonds, mutual funds, options, and retirement planning. His commitment to providing personalized financial advice aligns with the client-centric approach of both Commonwealth Financial Network and Webster Wealth Advisors, Inc.
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.
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2
CT
08/19/2019 - Present
Commonwealth Financial Network (Stamford CT)
NY
01/01/2005 - 10/30/2018
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
02/13/1996 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
09/06/1995 - 01/24/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/23/1995 - 09/12/1995
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 08/17/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/15/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/30/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/31/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/10/2000
Series 4 - Registered Options Principal Examination
BC
Issued 12/07/1998
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/17/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/29/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/22/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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