Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Lake is a financial advisor with over 36 years of experience in the industry. William is currently registered with Osaic Wealth, Inc.. William has previously been registered with AMERICAN EXPRESS FINANCIAL ADVISORS INC., EDWARD JONES, IDS LIFE INSURANCE COMPANY, SIGNATOR INVESTORS, INC., TRANSAMERICA FINANCIAL ADVISORS, INC, WACHOVIA SECURITIES, INC.. William has passed the Series 63, Series 7, SIE exams. William also holds the no known designation. William specializes in 1, 2, 3, 4, 5, 6 and provides advisory services to brokerage clients, helping them navigate securities trading and financial markets.
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.
1
2
IA
11/02/2018 - Present
Osaic Wealth, Inc. (INDEPENDENCE IA)
IA
05/13/2016 - 11/02/2018
SIGNATOR INVESTORS, INC. (INDEPENDENCE IA)
IA
05/07/2003 - 05/13/2016
TRANSAMERICA FINANCIAL ADVISORS, INC (INDEPENDENCE IA)
MO
07/12/2001 - 05/15/2003
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
MO
08/16/1989 - 03/29/2001
EDWARD JONES (ST. LOUIS MO)
MN
08/25/1988 - 08/14/1989
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
08/25/1988 - 08/14/1989
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 8/8/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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