Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Ni is a registered representative with Charles Schwab & Co., Inc. William has been in the industry since April 2016 and holds a Series 63, Series 7, and SIE license. William has previously been registered with TD Ameritrade Clearing, Inc. and TD Ameritrade, Inc. William is registered to sell securities in California.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
09/01/2023 - Present
Charles Schwab & CO., Inc. (Westlake TX)
NE
02/05/2019 - 09/08/2023
TD AMERITRADE CLEARING, INC. (OMAHA NE)
CA
04/08/2016 - 09/01/2023
TD AMERITRADE, INC. (SAN DIEGO CA)
BC
Issued 05/04/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/08/2016
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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