Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Joseph Puvogel is a registered investment advisor representative with Oppenheimer & Co. Inc. He is licensed in multiple states including New Jersey, New York, and Texas. William Joseph Puvogel has been in the financial services industry for over 40 years, starting his career in 1983. He has held positions at multiple firms including Sanders Morris Harris Inc., Blackford Securities Corp., Prime Charter Ltd., Prudential-Bache Securities Inc., Thomson McKinnon Securities Inc., Drexel Burnham Lambert Incorporated, and L. F. Rothschild & Co. Incorporated. William Joseph Puvogel is a Series 7 and Series 63 licensed advisor and also holds the Series 65 license. William Joseph Puvogel has a broad range of experience and specializes in providing investment advice to individuals, businesses, and pension plans.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
05/17/2017 - Present
Oppenheimer & Co. Inc. (JERICHO NY)
TX
07/01/2000 - 04/17/2002
SANDERS MORRIS HARRIS INC. (HOUSTON TX)
NY
07/30/1997 - 07/01/2000
BLACKFORD SECURITIES CORP. (GARDEN CITY NY)
NY
06/01/1990 - 07/28/1997
PRIME CHARTER LTD. (NEW YORK NY)
NY
08/25/1989 - 06/15/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NY
05/10/1989 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NA
02/08/1988 - 06/03/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
01/29/1988 - 02/18/1988
OPPENHEIMER & CO., INC.
NA
08/03/1987 - 02/18/1988
L. F. ROTHSCHILD & CO. INCORPORATED
NA
08/17/1983 - 08/10/1987
MOORE & SCHLEY, CAMERON & CO.
NA
03/01/1983 - 08/29/1983
E. F. HUTTON & COMPANY INC
IA
Issued 06/26/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
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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