Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William m? Claim Your ProfileWilliam M. Banks is a financial advisor with over 40 years of experience in the financial services industry. William is currently registered with UBS Financial Services Inc. and is licensed to offer financial advice in Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Kentucky, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Utah, Virginia, Washington, and Wisconsin. William has held previous roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley DW Inc., Advest, Inc., PaineWebber Incorporated, A. G. Edwards & Sons, Inc., Hibbard Brown & Co., Inc., Sherwood Capital, Inc., and First Jersey Securities, Inc. William holds multiple licenses, including the Series 7, Series 10, Series 24, Series 31, Series 63, and Series 65. William also holds several designations, including the Certified Financial Planner (CFP®) designation.
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
NJ
09/26/2012 - Present
UBS Financial Services Inc. (MT. LAUREL NJ)
NJ
11/17/2005 - 09/27/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MT. LAUREL NJ)
NY
08/18/2000 - 11/08/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
CT
09/21/1994 - 08/24/2000
ADVEST, INC. (HARTFORD CT)
NJ
09/17/1992 - 09/29/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
MO
06/15/1988 - 09/22/1992
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NA
05/24/1988 - 06/24/1988
HIBBARD BROWN & CO., INC.
NA
02/02/1987 - 05/31/1988
SHERWOOD CAPITAL, INC.
NA
05/24/1979 - 01/31/1987
FIRST JERSEY SECURITIES, INC.
IA
Issued 03/15/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/14/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/08/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 12/30/1985
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 05/19/1979
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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