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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Jon Grombala is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., a leading financial services company. William has been in the financial services industry since 1983 and has experience working with a variety of clients, including individuals, corporations, and institutions. William holds a number of professional designations, including Series 7, 63, 66, 9, 10 and 31. William specializes in providing investment advice and wealth management services to clients in the Traverse City, Michigan area.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MI
02/08/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TRAVERSE CITY MI)
NJ
10/22/1990 - 12/02/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
02/15/1988 - 11/13/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
12/21/1983 - 02/15/1988
E. F. HUTTON & COMPANY INC
BOTH
Issued 10/28/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/25/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/29/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/24/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/31/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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