Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Mullins is a financial advisor registered with Wells Fargo Clearing Services, LLC. William is a Certified Financial Planner with over 30 years of experience in the industry. William has held various positions within the financial services industry, including a previous role with Prudential Securities Incorporated. William specializes in portfolio management for businesses and individuals, financial planning and investment consulting services to institutional clients. William is also registered to provide investment advice in Colorado and Kentucky.
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.
Investment consulting services to institutional clients
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
KY
04/12/2005 - Present
Wells Fargo Clearing Services, LLC (LEXINGTON KY)
NY
03/11/1992 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 02/27/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/17/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/1997
Series 3 - National Commodity Futures Examination
BC
Issued 03/09/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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