Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Murray has been working in the financial services industry since April 28, 2007. William is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and is located in Charlotte, NC. William is a registered representative in the state of North Carolina, with both broker-dealer and investment advisor registrations. Previous to William's current registration, William was employed by WELLS FARGO CLEARING SERVICES, LLC. In addition to William's Series 7, 9, 10 and 66 licenses, William has earned the SIE and Series 99TO certifications, indicating a commitment to continued education and professional development.
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
NC
01/12/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
02/23/2007 - 11/07/2022
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
BOTH
Issued 12/01/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/14/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/23/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/04/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/2007
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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