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 Cocks is a financial professional with over a decade of experience in the financial services industry. William is currently registered with BMO Capital Markets Corp. as a registered representative and holds the Series 7, Series 79TO, and SIE licenses. William is also registered with the state of New York as well as 28 other states. William has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated where he was registered from April 4, 2008 until January 2, 2009. William's experience and qualifications are reflected in his broad network of clients and his firm's range of services.
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.
Provision of securities trading ideas and research
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.
A percentage of the total value of assets under management is charged.
Fees for securities trading ideas and research
1
2
NY
11/05/2020 - Present
BMO Capital Markets Corp. (New York NY)
NY
04/04/2008 - 01/02/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 04/24/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/2020
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 05/30/2020
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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