Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Barker is a financial advisor with Wall Street Access. William has been in the securities industry since 1998. William has held a variety of roles in the financial services industry. Currently, William is registered in the state of Connecticut, New York, North Carolina, and Texas. William is a Series 4, 6, 7, 9, 10, 24, 55, 57TO, and 63 licensed representative and has a Series SIE.
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.
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.
1
2
NY
02/18/2011 - Present
Wall Street Access (NEW YORK NY)
NY
12/03/2010 - 02/18/2011
LABRANCHE CAPITAL, LLC (NEW YORK NY)
NY
02/22/2000 - 12/09/2010
LABRANCHE FINANCIAL SERVICES, LLC (NEW YORK NY)
CT
11/17/1999 - 12/23/1999
WIT CAPITAL CORPORATION (OLD GREENWICH CT)
MA
12/22/1997 - 10/19/1999
SELIGMAN ADVISORS, INC. (BOSTON MA)
BC
Issued 03/12/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/09/2003
Series 4 - Registered Options Principal Examination
BC
Issued 11/07/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/13/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/22/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/12/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/09/1999
Series 7 - General Securities Representative Examination
BC
Issued 01/23/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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