Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Elliott Warren is a financial advisor registered with UBS Financial Services Inc. William has been working in the financial industry since July 2016. William has been registered with UBS Financial Services Inc. since September 2022. Prior to that, William worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated. William offers a variety of financial services, including financial planning, pension consulting, and portfolio management for both individuals and businesses. William has passed the Series 66, Series 7 and the SIE exams. William is registered in 39 states and the District of Columbia.
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
VA
09/26/2022 - Present
UBS Financial Services Inc. (RICHMOND VA)
VA
07/22/2016 - 09/27/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RICHMOND VA)
BOTH
Issued 08/24/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/2016
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
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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