Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Ford Rockett is a financial advisor with over 20 years of experience in the financial services industry. William is currently registered with Mercer Global Advisors Inc. as an Investment Advisor Representative. Prior to joining Mercer Global Advisors, William held positions at EATON VANCE DISTRIBUTORS, INC., CHARLES SCHWAB & CO., INC. and S F SENTRY SECURITIES, INC. William holds FINRA Series 7, 9, 10, 63 and 66 licenses as well as the SIE. William is also a CFA charter holder. William specializes in providing financial advice and portfolio management for individuals, families and businesses. He is also experienced in working with retirement plans and charitable organizations.
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.
Trust services, estate planning, tax return preparation, consultation
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.
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2
CO
03/22/2024 - Present
Mercer Global Advisors Inc. (DENVER CO)
NY
06/26/2019 - 09/20/2023
EATON VANCE DISTRIBUTORS, INC. (New York NY)
CO
07/18/2011 - 07/16/2019
CHARLES SCHWAB & CO., INC. (Lone Tree CO)
CA
09/21/2006 - 01/02/2009
S F SENTRY SECURITIES, INC. (SAN FRANCISCO CA)
NY
07/30/2003 - 12/15/2004
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
10/01/1999 - 08/31/2001
UST FINANCIAL SERVICES CORP. (NEW YORK NY)
NY
05/12/1998 - 03/26/1999
SCHRODER & CO. INC. (NEW YORK NY)
MA
11/18/1997 - 04/16/1998
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
BOTH
Issued 09/02/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/04/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/16/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/26/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/1997
Series 7 - General Securities Representative Examination
Active
Inactive
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