Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Harvey Lockwood is a financial advisor with Raymond James & Associates, Inc. in Vancouver, Washington. William has been in the financial industry since 1982, has held registrations with Wells Fargo Clearing Services, LLC, UBS Financial Services Inc., Piper Jaffray & Co. and E. F. Hutton & Company Inc., and is registered to offer investment advice in Washington and Texas. William specializes in providing financial planning, pension consulting, and educational seminars to a wide range of clients, including individuals, families, businesses, and institutions.
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.
Please see note in schedule d - miscellaneous
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.
1
2
WA
04/02/2021 - Present
Raymond James & Associates, Inc. (Vancouver WA)
WA
03/09/2007 - 04/02/2021
WELLS FARGO CLEARING SERVICES, LLC (VANCOUVER WA)
OR
08/12/2006 - 03/21/2007
UBS FINANCIAL SERVICES INC. (PORTLAND OR)
OR
03/05/1993 - 08/12/2006
PIPER JAFFRAY & CO. (PORTLAND OR)
MO
09/04/1990 - 03/12/1993
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
02/25/1988 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NA
02/15/1988 - 05/05/1988
SHEARSON LEHMAN HUTTON INC.
NA
02/10/1982 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 03/11/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/10/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/07/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 01/16/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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