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 Ugalde has been in the financial services industry since April 27, 2002. William is currently registered with Osaic Wealth, Inc. in Scottsdale, Arizona. William was previously registered with SAGEPOINT FINANCIAL, INC. in Scottsdale, Arizona. William has held a variety of roles in the financial services industry, including registered representative and investment advisor representative. William has passed the Series 6, Series 7, Series 63, and Series 65 exams. William has also been registered with various firms throughout his career, including USAA Investment Management Company, Charles Schwab & Co., Inc., Aetna Investment Services, Inc., BANC ONE SECURITIES CORPORATION, Chase Investment Services Corp., SunAmerica Securities, Inc., SAGEPOINT FINANCIAL, INC., and Osaic Wealth, Inc. William specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and retirement plans.
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.
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.
A percentage of the total value of assets under management is charged.
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AZ
09/01/2023 - Present
Osaic Wealth, Inc. (SCOTTSDALE AZ)
AZ
06/01/2017 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
AZ
10/31/2005 - 10/09/2015
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
AZ
05/19/2005 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
IL
12/03/2004 - 05/10/2005
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
IL
03/11/2004 - 05/03/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
TX
07/25/2001 - 03/22/2004
USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)
TX
10/26/2000 - 07/05/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
CT
04/11/2000 - 06/27/2000
AETNA INVESTMENT SERVICES, INC. (WINDSOR CT)
IA
Issued 07/21/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/17/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/2000
Series 7 - General Securities Representative Examination
BC
Issued 04/10/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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