Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Follis is a registered representative with TD Securities (usa) LLC. William has been in the securities industry for over 30 years and has a broad range of experience. William's career includes roles at Cowen and Company, Cowen & Co., and Dean Witter Reynolds Inc. William holds the Series 7, 9, 10, 55, 63, 57TO, 79TO, and 99TO licenses, as well as the SIE exam. William is registered to sell securities in the state of New York. William is located in the New York, NY branch office.
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.
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.
1
2
NY
04/01/2024 - Present
TD Securities (usa) LLC (NEW YORK NY)
NY
07/01/1998 - 04/11/2024
COWEN AND COMPANY (NEW YORK NY)
NY
08/27/1993 - 07/01/1998
COWEN & CO. (NEW YORK NY)
NY
02/23/1990 - 04/12/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 05/24/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/13/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/27/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/18/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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