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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 Martin Lissau is a financial advisor with over 29 years of experience in the industry. He currently holds the position of Investment Advisor Representative at Merrill Lynch, Pierce, Fenner & Smith Inc.. William Lissau has previously worked at a number of other firms including BANC OF AMERICA INVESTMENT SERVICES, INC., TRANSAMERICA FINANCIAL ADVISORS, INC., A. G. EDWARDS & SONS, INC., DAIN RAUSCHER INCORPORATED, and SMITH BARNEY INC.. William Lissau has a broad range of experience and holds registrations in multiple states including Arizona, Delaware, Florida, Illinois, Nevada, New Jersey, New York, Oklahoma, and Texas. William Lissau is a Series 7, Series 6, and Series 63 licensed professional.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, 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.
1
2
OK
09/25/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TULSA OK)
OK
03/12/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (TULSA OK)
CA
10/16/2001 - 01/07/2003
TRANSAMERICA FINANCIAL ADVISORS, INC. (LOS ANGELES CA)
MO
08/20/1999 - 10/22/2001
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
03/02/1998 - 09/15/1999
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
07/08/1996 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NY
07/06/1992 - 07/29/1996
SMITH BARNEY INC. (NEW YORK NY)
NJ
12/09/1991 - 04/20/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
12/09/1991 - 04/20/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 11/23/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/28/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/1992
Series 7 - General Securities Representative Examination
BC
Issued 12/06/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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