Unclaimed
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 currently registered with Morgan Stanley. William has over 40 years of experience in the financial industry and is active in both the broker-dealer and investment advisor spaces. William is registered with the Securities and Exchange Commission as an Investment Adviser Representative. He is also a registered representative in 53 states and the District of Columbia. William has passed the Series 3, 5, 7, 8, 9, 10, 63, and 65 exams. William has previously worked at several firms including Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Citigroup Global Markets Inc., Becker Paribas Incorporated, and Smith Barney, Harris Upham & Co., Incorporated. William has a broad range of experience and expertise in various investment areas and provides comprehensive financial advice to a diverse clientele, including high-net-worth individuals, families, corporations, and institutions.
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
Wealthpenn.comllc (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 8/17/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/20/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 4/6/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/1/1988
Series 3 - National Commodity Futures Examination
BC
Issued 10/15/1981
Series 5 - Interest Rate Options Examination
BC
Issued 1/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure William Knowles is the right advisor for you? Invested Better is here to help.
Copyright 2024 Invested Better
Invested Better, LLC ("Invested Better") provides a matching service whereby users are connected with third-party financial advisors ("Advisors") who are registered and licensed as financial advisors in the United States and have elected to participate in our matching platform. Information provided by users through our online questionnaire facilitates the determination of suitable Advisor matches. Invested Better receives a set cost per lead compensation from Advisors in exchange for this referral service.
Please be advised that Invested Better does not evaluate the ongoing performance of any Advisor, nor does it participate in the management of user accounts or provide advice regarding specific investments. We do not manage client funds or hold assets in custody. Our role is solely to facilitate connections between users and potentially suitable financial advisors. All investing involves inherent risks, including the potential loss of principal. There is no guarantee that working with an advisor will result in positive returns. Potential downsides include the payment of fees, which can reduce overall returns. The existence of a fiduciary duty does not preclude the potential for conflicts of interest.
Invested Better maintains a directory of all actively registered financial advisors and firms based on the public filings with FINRA and SEC. Advisors and firms may verify their identity to claim and take control to update and edit their profile information. Invested Better does not guarantee the accuracy of any information updated by advisors or firms on their profile.
