Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Forsyth is a financial advisor registered with Raymond James & Associates, Inc. and has over 30 years of experience in the financial industry. William holds a Series 3, 6, 7, 9, 10, 63 and 65 licenses. William is a Registered Representative and Investment Advisor Representative for Raymond James & Associates, Inc., a registered broker-dealer and investment advisor. William is also a Registered Representative for Wells Fargo Clearing Services, LLC. William offers a variety of financial services including portfolio management for individuals and businesses, financial planning, pension consulting, selection of other advisors, and educational seminars.
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.
Please see note in schedule d - miscellaneous
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.
1
2
TX
02/16/2017 - Present
Raymond James & Associates, Inc. (HOUSTON TX)
TX
09/09/2005 - 02/21/2017
WELLS FARGO CLEARING SERVICES, LLC (HOUSTON TX)
NJ
06/29/2001 - 09/22/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
05/03/1996 - 07/02/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/19/1986 - 05/13/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
10/30/1984 - 09/09/1985
PRUCO SECURITIES CORPORATION
IA
Issued 07/14/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/01/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/09/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/08/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/1996
Series 3 - National Commodity Futures Examination
BC
Issued 02/15/1986
Series 7 - General Securities Representative Examination
BC
Issued 10/29/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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