Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam McLaughlin jr. is a financial advisor registered with UBS Financial Services Inc. William McLaughlin jr. has been working in the industry since February 15, 1986, and has been with UBS Financial Services Inc. since February 2011. Prior to joining UBS Financial Services Inc., William McLaughlin jr. worked at Goldman, Sachs & Co., Citigroup Global Markets Inc., Prudential Securities Incorporated, and Thomson McKinnon Securities Inc. William McLaughlin jr. is registered in 21 states. William McLaughlin jr. has a variety of certifications, including the Series 3, 5, 7, 15, 31, 63, 66, and SIE exams. William McLaughlin jr. specializes in a number of areas, including investment advisory services, portfolio management, and financial planning. William McLaughlin jr. is also a board member of the U.S. Court Tennis Preservation Foundation and the Andalusia Foundation.
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
PA
08/30/2012 - Present
UBS Financial Services Inc. (PHILADELPHIA PA)
NY
05/31/2007 - 03/16/2011
GOLDMAN, SACHS & CO. (NEW YORK NY)
PA
02/11/1993 - 05/11/2007
CITIGROUP GLOBAL MARKETS INC. (PHILADELPHIA PA)
NY
08/25/1989 - 02/22/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
01/28/1986 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
BOTH
Issued 12/12/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/09/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/13/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 06/05/1986
Series 5 - Interest Rate Options Examination
BC
Issued 05/29/1986
Series 15 - Foreign Currency Options Examination
BC
Issued 05/27/1986
Series 3 - National Commodity Futures Examination
BC
Issued 12/14/1985
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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