Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Helfrich is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. William has been working in the financial services industry since 1997. William holds Series 7, 27, 63, 66, 99TO and SIE licenses. William is licensed in 53 states and the District of Columbia. William's previous roles included positions at STATE STREET GLOBAL MARKETS, LLC, NATIONAL FINANCIAL SERVICES CORPORATION, and FIDELITY BROKERAGE SERVICES, INC.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
RI
06/27/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LINCOLN RI)
MA
07/29/1999 - 05/09/2012
STATE STREET GLOBAL MARKETS, LLC (BOSTON MA)
MA
01/14/1997 - 04/06/1999
NATIONAL FINANCIAL SERVICES CORPORATION (BOSTON MA)
RI
04/02/1996 - 12/31/1996
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BOTH
Issued 02/20/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/18/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/26/1999
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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