Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Herbert Caruana is a financial advisor with Stifel, Nicolaus & Company, Inc. William Caruana has been in the financial services industry since June 1993. William Caruana is licensed in 21 states and has experience in a variety of financial services. William Caruana is registered with the Financial Industry Regulatory Authority (FINRA) and is also a registered Investment Advisor. William Caruana specializes in portfolio management, financial planning, and educational seminars.
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.
1
2
CT
07/18/2019 - Present
Stifel, Nicolaus & Company, Inc. (ENFIELD CT)
MA
07/14/1995 - 05/29/2009
CITIGROUP GLOBAL MARKETS INC. (SPRINGFIELD MA)
NA
04/07/1993 - 05/08/1995
BAYBANKS BROKERAGE SERVICES, INC.
IA
Issued 07/24/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/06/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/03/1995
Series 7 - General Securities Representative Examination
BC
Issued 04/06/1993
Series 6 - Investment Company Products/Variable Contracts 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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