Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Gardner Marshall is a financial professional with over 30 years of experience in the financial services industry. William has a broad range of experience, having worked with companies like Morgan Stanley, Lehman Brothers, and RBC Capital Markets. William currently works with RBC Capital Markets, LLC and is registered with the state of California and Texas as an Investment Advisor Representative. William's expertise lies in providing financial planning and portfolio management services for individuals and businesses. William specializes in public and private employee benefit plans, endowment funds, foundations, family trusts, and various capital and operating funds. William holds the Series 31, 7 and 63 licenses and the SIE designation, allowing William to provide clients with a comprehensive range of financial services.
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.
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2
CA
03/30/2017 - Present
RBC Capital Markets, LLC (SAN FRANCISCO CA)
CA
06/01/2009 - 05/30/2013
MORGAN STANLEY (SAN FRANCISCO CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN FRANCISCO CA)
CA
01/06/2006 - 04/02/2007
MORGAN STANLEY DW INC. (SAN FRANCISCO CA)
NY
03/09/2002 - 01/12/2006
RBC DAIN RAUSCHER INC. (NEW YORK NY)
CA
12/12/1994 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NY
01/23/1990 - 12/16/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 12/02/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/02/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/20/1990
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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