Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Richmond is a financial advisor with over 30 years of experience in the financial industry. William has a strong background in providing financial advice to individuals, families, and businesses. William currently works at Cary Street Partners, a firm that provides investment advice to individuals and institutions. William's experience includes working at several well-known firms including Morgan Stanley, Raymond James, and Wells Fargo Advisors. William is licensed to provide financial advice in Connecticut, Florida, New York, North Carolina, and South Carolina. William is a Series 7 and Series 63 licensed financial advisor.
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.
A percentage of the total value of assets under management is charged.
Revenue sharing with certain third parties
1
2
NC
03/11/2020 - Present
Cary Street Partners (CHARLOTTE NC)
NC
01/19/2017 - 09/27/2018
MORGAN STANLEY (CHARLOTTE NC)
NC
05/21/2015 - 09/20/2016
RAYMOND JAMES & ASSOCIATES, INC. (CHARLOTTE NC)
NY
03/05/2014 - 12/01/2014
STERLING MONROE SECURITIES, LLC (WOODBURY NY)
CT
07/25/2012 - 10/15/2013
WELLS FARGO ADVISORS, LLC (STAMFORD CT)
CT
04/12/2012 - 07/18/2012
DAVID LERNER ASSOCIATES, INC. (WESTPORT CT)
CT
04/17/2009 - 10/07/2011
CREDIT SUISSE SECURITIES (USA) LLC (GREENWICH CT)
NY
09/06/2006 - 05/11/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
CA
09/04/2002 - 05/26/2006
FRIEDMAN, BILLINGS, RAMSEY & CO., INC. (LOS ANGELES CA)
NY
06/17/1999 - 12/12/2001
ABN AMRO SECURITIES LLC (NEW YORK NY)
NY
06/09/1995 - 06/14/1999
WARBURG DILLON READ LLC (NEW YORK NY)
CT
06/22/1998 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
03/08/1993 - 05/25/1995
NATWEST SECURITIES CORPORATION (NEW YORK NY)
CA
05/07/1991 - 02/02/1993
MONTGOMERY SECURITIES (SAN FRANCISCO CA)
MA
03/26/1990 - 03/13/1991
TUCKER ANTHONY INCORPORATED (BOSTON MA)
TN
03/10/1989 - 04/12/1990
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NA
05/21/1986 - 03/27/1989
MORGAN STANLEY & CO., INCORPORATED
IA
Issued 08/13/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/05/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/27/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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