Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Cobb is a financial professional with over 25 years of experience in the industry. He has been registered with Wells Fargo Clearing Services, LLC since 2009. Prior to that, William has worked with a number of other financial firms including First Trust Portfolios LP, Lincoln Financial Distributors, Inc., Delaware Distributors, LP., Touchstone Securities, Inc. and Evergreen Investment Services, Inc. William holds licenses in Series 3, 7, 9, 10, 63 and 65. He is a registered representative in Arkansas, Massachusetts, North Carolina, and Utah.
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
NC
09/02/2009 - Present
Wells Fargo Clearing Services, LLC (RALEIGH NC)
IL
11/30/2004 - 11/04/2008
FIRST TRUST PORTFOLIOS L.P. (LISLE IL)
PA
12/31/2000 - 12/17/2004
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
PA
09/25/2000 - 12/31/2000
DELAWARE DISTRIBUTORS, L.P. (PHILADELPHIA PA)
OH
07/31/1999 - 10/13/2000
TOUCHSTONE SECURITIES, INC. (CINCINNATI OH)
NC
03/04/1998 - 07/23/1999
EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
07/12/1996 - 12/09/1997
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
04/12/1996 - 07/18/1996
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 09/01/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/05/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/16/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2010
Series 3 - National Commodity Futures Examination
BC
Issued 04/11/1996
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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