Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Grimes is a financial advisor with Citigroup Global Markets Inc. William has been in the industry for 28 years. He has a Series 6, Series 7, Series 63, Series 65, and Series 66 licenses. William works with individuals, high-net-worth individuals, corporations, and charitable organizations. He offers financial planning, investment advice, portfolio management, and other services. William has been a registered representative with Citigroup Global Markets Inc. since 2012. Before that, he was registered with LPL Financial LLC, Sun Life Financial Distributors, Inc., Touchstone Securities, Inc., Allianz Life Financial Services, LLC, Guardian Investor Services LLC, Transamerica Securities Sales Corporation, Phoenix Equity Planning Corporation, and Putnam Mutual Funds Corp.
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.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
FL
07/11/2012 - Present
Citigroup Global Markets Inc. (Coral Springs FL)
FL
07/06/2009 - 07/11/2012
LPL FINANCIAL LLC (TAMARAC FL)
MA
01/18/2007 - 05/06/2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)
OH
09/28/2006 - 01/03/2007
TOUCHSTONE SECURITIES, INC. (CINCINNATI OH)
MN
04/06/2005 - 08/15/2006
ALLIANZ LIFE FINANCIAL SERVICES, LLC (MINNEAPOLIS MN)
NY
05/23/2001 - 04/01/2005
GUARDIAN INVESTOR SERVICES LLC (NEW YORK NY)
CA
06/17/1999 - 01/21/2000
TRANSAMERICA SECURITIES SALES CORPORATION (LOS ANGELES CA)
CT
02/13/1997 - 01/04/1999
PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)
MA
03/16/1992 - 01/29/1997
PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)
BOTH
Issued 09/28/2009
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/18/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/06/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/2009
Series 7 - General Securities Representative Examination
BC
Issued 03/12/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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