Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Harris is a financial advisor with Wells Fargo Clearing Services, LLC. William has been in the industry since 1983 and has worked at several firms including FIRST UNION CAPITAL MARKETS CORP. and STERNE, AGEE & LEACH, INC. William is registered with the following securities regulators: FINRA and the states of Alabama, Arkansas, California, Colorado, Florida, Georgia, Kentucky, Louisiana, Massachusetts, Mississippi, Missouri, Nevada, New York, North Carolina, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Utah, and Virginia.
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
AL
06/30/2014 - Present
Wells Fargo Clearing Services, LLC (MONTGOMERY AL)
NC
12/18/1998 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
AL
08/24/1983 - 01/08/1999
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
IA
Issued 04/13/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/01/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/31/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/21/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/2010
Series 3 - National Commodity Futures Examination
BC
Issued 08/20/1983
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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