Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Gourd is a financial advisor currently registered with UBS Financial Services Inc. William has been in the financial services industry since September 1987. William is licensed in various states including Connecticut, New York, Rhode Island and Texas. William has experience with Barclays Capital Inc., Lehman Brothers Inc. and J.P. Morgan Securities Inc.
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
CT
10/10/2008 - Present
UBS Financial Services Inc. (STAMFORD CT)
CT
09/22/2008 - 10/08/2008
BARCLAYS CAPITAL INC. (GREENWICH CT)
CT
03/28/2005 - 09/22/2008
LEHMAN BROTHERS INC. (GREENWICH CT)
NY
05/01/2001 - 03/29/2005
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
01/15/1995 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
09/22/1987 - 01/06/1995
SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 3/20/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/30/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 3/1/2001
Series 24 - General Securities Principal Examination
BC
Issued 2/5/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/31/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2005
Series 3 - National Commodity Futures Examination
BC
Issued 9/19/1987
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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