Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Hawker is a financial advisor with over 30 years of experience in the financial services industry. William currently works for Wells Fargo Clearing Services, LLC in the Sugar Land, TX office. William is licensed in over 40 states and holds several industry licenses, including Series 7, Series 31, Series 63, and Series 65. William offers a variety of financial services, including investment advisory services, financial planning, portfolio management, and pension consulting. William specializes in working with high-net-worth individuals, corporations, 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.
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.
Investment consulting services to institutional clients
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
TX
12/05/2008 - Present
Wells Fargo Clearing Services, LLC (SUGAR LAND TX)
TX
04/09/1998 - 12/10/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SUGARLAND TX)
NY
07/16/1996 - 04/23/1998
CIBC OPPENHEIMER CORP. (NEW YORK NY)
TX
07/01/1996 - 07/12/1996
COASTAL SECURITIES L.P. (HOUSTON TX)
NA
04/19/1995 - 07/01/1996
GOVERNMENT SECURITIES CORPORATION
NA
04/19/1995 - 07/01/1996
GSC SECURITIES, INC.
NY
01/03/1995 - 03/23/1995
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
NY
01/28/1992 - 01/05/1995
OPPENHEIMER & CO., INC. (NEW YORK NY)
IA
Issued 03/08/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/30/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/12/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 01/27/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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