Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam McConnell is a financial advisor with over 20 years of experience in the industry. William has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2010. Prior to that William was registered with Wachovia Capital Markets, LLC and Wachovia Securities, LLC. William has a wide range of experience in the financial services industry, including securities, investment advisory, and principal exams. William McConnell is currently registered to provide investment advice in several states, including Texas, Rhode Island, and the District of Columbia.
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
DC
01/25/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WASHINGTON DC)
NC
07/01/2003 - 05/06/2008
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
11/03/2000 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
BOTH
Issued 09/17/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/05/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/11/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/09/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/2000
Series 7 - General Securities 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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