Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam James Barney has been a registered representative since December 22, 1983. William James Barney is currently registered with Morgan Stanley. William James Barney has previously been employed with CITIGROUP GLOBAL MARKETS INC. and E. F. HUTTON & COMPANY INC. William James Barney holds a Series 63, Series 65, Series 7, Series 8, Series 9, Series 10, and SIE license. William James Barney has been in the industry for 40 years. William James Barney is a member of the New York Stock Exchange Panels of Hearing Board and also volunteers to serve on the NYSE's Acceptability Board.
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
CA
06/04/2014 - Present
Morgan Stanley (Pasadena CA)
CA
01/15/1988 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PASADENA CA)
NA
12/22/1983 - 01/12/1988
E. F. HUTTON & COMPANY INC
IA
Issued 08/20/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/06/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/03/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1983
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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