Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Newell is a financial advisor at UBS Financial Services Inc. in Boston, MA. William has been in the financial services industry since 2010. William has experience working with clients across a variety of industries, including investment companies, insurance companies, charitable organizations, pension and profit-sharing plans, corporations or other businesses, and individuals. William is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 63, and SIE licenses. William is also a registered investment advisor representative. William's previous firms include Stephens Inc., JMP Securities LLC, and Zelman Partners, LLC.
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
MA
09/23/2024 - Present
UBS Financial Services Inc. (BOSTON MA)
MA
10/02/2018 - 11/08/2021
JMP SECURITIES LLC (BOSTON MA)
MA
06/13/2016 - 08/17/2018
STEPHENS (BOSTON MA)
OH
04/23/2015 - 06/30/2016
ZELMAN PARTNERS, LLC (BAY VILLAGE OH)
MA
06/16/2005 - 06/19/2006
C. L. KING & ASSOCIATES, INC. (BOSTON MA)
NY
05/18/1999 - 05/16/2005
LAZARD FRERES & CO. LLC (NEW YORK NY)
NY
06/19/1997 - 07/08/1998
E. D. & F. MAN INTERNATIONAL INC. (NEW YORK NY)
BC
Issued 10/07/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/22/2024
Series 7TO - General Securities Representative Examination
BC
Issued 08/17/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/2015
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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