Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Harmon Hales is an active broker and investment advisor representative, registered in multiple states, with over 20 years of experience in the industry. William is currently associated with UBS Financial Services Inc. William has previously worked with Wachovia Securities, LLC and Prudential Securities Incorporated. William is a registered representative with FINRA, and holds Series 7, Series 31, Series 63, Series 65, and SIE licenses. William provides investment advice and portfolio management services to a variety of clients, including individuals, families, businesses, trusts, 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.
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
OH
07/29/2004 - Present
UBS Financial Services Inc. (CINCINNATI OH)
MO
07/01/2003 - 10/29/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
07/24/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 08/10/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/10/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 07/21/2000
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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