Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Farrell is an experienced investment advisor with over 40 years of experience in the financial services industry. William has been registered with UBS Financial Services Inc. since 1995. Prior to that, he worked for several other firms including Kidder, Peabody & Co. Incorporated, The Stamford Company, Inc., Tucker, Anthony & R. L. Day, Inc., Gabriele, Hueglin & Cashman Inc., Sentry Securities Corp. and Stoever, Glass & Company Inc.. William is licensed in several states, including New York, Texas, California, and Illinois. He holds the Series 3, 7, 52, 53, 63, and 65 licenses. William also has a partnership interest in Precise Advisory, which provides business advice to professional athletes.
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
NY
01/22/2007 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
02/14/1991 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
06/06/1989 - 02/22/1991
THE STAMFORD COMPANY, INC.
NA
12/03/1985 - 03/28/1989
TUCKER, ANTHONY & R. L. DAY, INC.
NA
03/22/1984 - 12/13/1985
GABRIELE, HUEGLIN & CASHMAN INC.
NA
02/28/1983 - 05/24/1984
SENTRY SECURITES CORP.
NA
05/18/1981 - 08/17/1982
STOEVER, GLASS & COMPANY INC.
IA
Issued 2/13/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 5/2/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/1/1983
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/1992
Series 3 - National Commodity Futures Examination
BC
Issued 3/16/1985
Series 7 - General Securities Representative Examination
BC
Issued 5/16/1981
Series 52 - Municipal Securities 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
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