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 Sullivan is a financial advisor with UBS Financial Services Inc. based in Boston, Massachusetts. Sullivan has been in the financial services industry since 1967 and has a broad range of experience working with individual investors, families, and businesses. He has a strong track record of success in providing financial planning, investment management, and retirement planning services. Prior to joining UBS, Sullivan held positions at KIDDER, PEABODY & CO. INCORPORATED and H. C. WAINWRIGHT & CO. He is registered to provide investment advisory and brokerage services in multiple states. In addition to his work in the financial services industry, Sullivan is also involved in agriculture and livestock.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
MA
01/05/2006 - Present
UBS Financial Services Inc. (BOSTON MA)
NY
05/19/1978 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
06/09/1975 - 05/19/1978
KIDDER, PEABODY & CO., INCORPORATED
NA
12/22/1967 - 04/22/1975
H. C. WAINWRIGHT & CO.
IA
Issued 02/10/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/12/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1982
Series 3 - National Commodity Futures Examination
BC
Issued 08/15/1977
PC - AMEX Put and Call Exam
BC
Issued 12/19/1967
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure William Sullivan is the right advisor for you? Invested Better is here to help.
