Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Evan James is a financial advisor with RBC Capital Markets, LLC. William James has over 30 years of experience in the financial services industry. William has a Series 7, Series 9, Series 10, and Series 63 securities licenses, as well as a Series 65 investment advisor license. William previously worked at UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. William is registered with the Financial Industry Regulatory Authority (FINRA) and has a history of providing financial advice to individuals, corporations, insurance companies, and other institutions.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
OH
08/07/2023 - Present
RBC Capital Markets, LLC (Columbus OH)
OH
05/15/2012 - 08/15/2023
UBS FINANCIAL SERVICES INC. (COLUMBUS OH)
WV
02/13/2004 - 05/17/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (VIENNA WV)
MD
04/30/1998 - 02/24/2004
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
OH
02/28/1995 - 05/06/1998
THE OHIO COMPANY (CINCINNATI OH)
MN
09/29/1993 - 03/01/1995
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/29/1993 - 03/01/1995
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 05/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/22/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/01/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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