Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Kane Lavin is a financial advisor with over 25 years of experience in the industry. William is currently registered with Wall Street Access and has previously been associated with firms such as WSA Fixed Income, LLC, The Boston Group, and Royce Investment Group, Inc. William holds a wide range of licenses and certifications, including Series 3, 4, 7, 9, 10, 14, 24, 53, 55, 57TO, 63, 79TO, 99TO, and SIE. William is registered in all 50 states and is committed to providing clients with the highest level of service and expertise.
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.
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.
1
2
NY
02/04/1997 - Present
Wall Street Access (NEW YORK NY)
NY
07/09/2008 - 11/13/2012
WSA FIXED INCOME, LLC (NEW YORK NY)
CA
07/17/1996 - 12/11/1996
THE BOSTON GROUP (LOS ANGELES CA)
NY
02/09/1996 - 08/13/1996
ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)
BC
Issued 02/15/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/05/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/30/2000
Series 14 - Compliance Officer Examination
BC
Issued 08/15/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/14/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/12/2000
Series 24 - General Securities Principal Examination
BC
Issued 06/11/1997
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/28/2019
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/08/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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