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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Knowles is a financial advisor with Morgan Stanley. William has been in the industry since 1981. William has a wide range of experience, having worked for various financial institutions including Citigroup Global Markets Inc. and Smith Barney, Harris Upham & Co., Incorporated. William's experience includes providing investment advice to individuals, businesses, investment companies, and charitable organizations. William holds a variety of licenses and certifications, including Series 3, 5, 7, 9, 10, 63, and 65. William is registered with the Financial Industry Regulatory Authority (FINRA) and is also registered with the state of New York and Texas.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
02/11/2021 - Present
Morgan Stanley (New York NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
07/28/2006 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
NY
10/09/1984 - 08/10/2006
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NA
01/10/1984 - 10/19/1984
BECKER PARIBAS INCORPORATED
NA
01/19/1981 - 01/17/1984
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
IA
Issued 08/17/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/20/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/06/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/1988
Series 3 - National Commodity Futures Examination
BC
Issued 10/15/1981
Series 5 - Interest Rate Options Examination
BC
Issued 01/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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