Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Matthew Shinn is a financial advisor at UBS Financial Services Inc. with over 25 years of experience in the industry. William has a wide range of licenses and registrations including Series 3, 7, 63, and 65. William is registered to provide investment advisory services in Indiana and Texas. In addition to his Series licenses, William holds the SIE exam. William has extensive experience providing financial advice to individuals, families, and businesses. William has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Bank of America, N.A. UBS Financial Services Inc. is a leading wealth management firm with over $700 billion in assets under management.
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
IN
04/15/2016 - Present
UBS Financial Services Inc. (FORT WAYNE IN)
IN
10/08/1993 - 04/05/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FORT WAYNE IN)
IA
Issued 11/04/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/18/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1996
Series 3 - National Commodity Futures Examination
BC
Issued 10/07/1993
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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