Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Leo Schaffler is a financial advisor with over 20 years of experience in the industry. William is currently registered with Robert W. Baird & Co. Inc. in Texas and Florida. William has a wide range of experience, having previously worked with firms such as Citigroup Global Markets Inc., CitiCorp Investment Services, Chase Investment Services Corp., H.D. Vest Investment Services, Essential Securities, Inc., TD Waterhouse Investor Services, Inc., and Fidelity Brokerage Services LLC. William holds several licenses, including Series 3, 7, 31, 63, and 66.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Hard dollar payments for research
1
2
TX
11/12/2012 - Present
Robert W. Baird & Co. Inc. (Dallas TX)
TX
05/29/2007 - 10/23/2012
CITIGROUP GLOBAL MARKETS INC. (FRISCO TX)
TX
04/05/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (PLANO TX)
IL
05/25/2004 - 04/03/2006
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
TX
04/20/2004 - 06/10/2004
H.D. VEST INVESTMENT SERVICES (DALLAS TX)
NV
11/27/2003 - 02/23/2004
ESSENTIAL SECURITIES, INC. (LAS VEGAS NV)
NE
04/08/2003 - 10/24/2003
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
RI
05/17/2001 - 10/28/2002
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BOTH
Issued 10/14/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/29/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 12/03/2008
Series 3 - National Commodity Futures Examination
BC
Issued 05/15/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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