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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Liu jr. is a financial advisor with over 18 years of experience in the financial services industry. William is currently registered with UBS Financial Services Inc. in Melville, NY. He is a Series 66, Series 7 and SIE licensed advisor. Prior to joining UBS Financial Services Inc. William was employed by Morgan Stanley and Chase Investment Services Corp. William has been actively registered with FINRA since 2003.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
08/28/2015 - Present
UBS Financial Services Inc. (MELVILLE NY)
NY
06/18/2010 - 09/15/2015
MORGAN STANLEY (GREAT NECK NY)
NY
07/18/2006 - 06/22/2010
CHASE INVESTMENT SERVICES CORP. (MANHASSET NY)
NY
05/12/2005 - 03/21/2006
AXA ADVISORS, LLC (NEW YORK NY)
FL
01/23/2004 - 01/21/2005
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
NY
09/18/2003 - 01/29/2004
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
BOTH
Issued 10/28/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2003
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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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