Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Harcourt Stratton is a financial advisor in Thousand Oaks, California. William has been working in the financial industry since 2005. William is registered with Jonestrading and holds the following licenses and registrations: Series 37, Series 55, Series 57TO, Series 63 and SIE. William is licensed in California, Florida, New York and Rhode Island. William previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York.
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.
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CA
03/10/2005 - Present
Jonestrading (THOUSAND OAKS CA)
NY
12/06/2004 - 02/10/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 04/05/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/03/2004
Series 37 - Canada Module of the General Securities Registered Representative (With Options Questions)
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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