Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Pegler is a registered representative with over 25 years of experience in the financial industry. William has worked for several well-known firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC OF AMERICA SECURITIES LLC, BNP PARIBAS SECURITIES CORP. and FLEET SECURITIES, INC.. William is currently registered with Bofa Securities, Inc. William is a Series 7, Series 10, Series 24, Series 63, and Series 79TO licensed representative. William holds a securities license in New York.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
NY
05/10/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
11/01/2010 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/28/2006 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
06/01/2004 - 08/10/2006
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
TX
09/05/2000 - 03/31/2004
FLEET SECURITIES, INC. (DALLAS TX)
CA
10/01/1999 - 09/05/2000
FLEETBOSTON ROBERTSON STEPHENS INC. (SAN FRANCISCO CA)
TX
08/03/1998 - 10/01/1999
FLEET SECURITIES, INC. (DALLAS TX)
NY
05/15/1997 - 06/04/1998
CITICORP SECURITIES, INC. (NEW YORK NY)
BC
Issued 03/20/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/12/2014
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/11/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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