Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam John Focia is a financial advisor at Raymond James & Associates, Inc. William has been working in the financial services industry since 2004. William has experience working with a variety of clients, including high-net-worth individuals, corporations, and pension plans. William holds the Series 7, 24, 63, and 66 licenses and the SIE certification. William also has the designation of Registered Options Principal. William is dedicated to helping clients achieve their financial goals.
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
AL
06/10/2024 - Present
Raymond James & Associates, Inc. (BIRMINGHAM AL)
AL
02/02/2017 - 05/24/2024
LPL FINANCIAL LLC (BIRMINGHAM AL)
AL
01/02/2014 - 02/01/2017
WELLS FARGO CLEARING SERVICES, LLC (NORTHPORT AL)
GA
10/18/2012 - 01/02/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ALPHARETTA GA)
GA
07/01/2009 - 05/10/2011
LINCOLN FINANCIAL ADVISORS CORPORATION (ATLANTA GA)
UT
08/26/2004 - 06/30/2009
E*TRADE SECURITIES LLC (SANDY UT)
BOTH
Issued 03/03/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/03/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/14/2007
Series 4 - Registered Options Principal Examination
BC
Issued 08/02/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure William Focia is the right advisor for you? Invested Better is here to help.
