Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Lawlor has been in the financial services industry since 1994. William is a registered representative and investment advisor representative with Janney Montgomery Scott LLC, a firm headquartered in Philadelphia. William is also registered in 20 states including Connecticut, New York, Massachusetts and California, where William provides financial planning, portfolio management, and pension consulting services. William has a broad range of experience in the industry, having previously worked for Wells Fargo Advisors LLC, Wells Fargo Clearing Services, LLC, RBC Capital Markets, LLC, Oppenheimer & Co. Inc. and Ryan Beck & Co. William is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
Fee plus commission
1
2
CT
10/24/2023 - Present
Janney Montgomery Scott LLC (Westbrook CT)
CT
11/28/2014 - 10/26/2023
WELLS FARGO CLEARING SERVICES, LLC (ESSEX CT)
CT
04/30/2012 - 12/17/2014
RBC CAPITAL MARKETS, LLC (NEW HAVEN CT)
CT
06/02/2006 - 05/02/2012
OPPENHEIMER & CO. INC. (STAMFORD CT)
CT
04/29/2002 - 06/08/2006
RYAN BECK & CO. (HAMDEN CT)
NY
05/26/1998 - 05/13/2002
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
10/19/1994 - 05/28/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 07/02/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/02/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/22/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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