Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Breen is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. William has been in the industry since 2018. William's current registration with Merrill Lynch, Pierce, Fenner & Smith Inc. is active. William also previously held registrations with PROFUNDS DISTRIBUTORS, INC., JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC, and MORGAN STANLEY. William is registered as a broker in the state of Virginia and as an investment advisor representative in the state of Texas. William has passed the Securities Industry Essentials Examination, the General Securities Representative Examination, and the Uniform Combined State Law Examination. William is a member of the Georgetown Graduate Investment Fund, a student investment club, where William acts as a Sector Head for Utilities. William's primary role is to contribute to the fund's quarterly reports by tracking the performance of the utilities sector.
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
VA
09/13/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RESTON VA)
MD
03/22/2021 - 07/31/2023
PROFUNDS DISTRIBUTORS, INC. (BETHESDA MD)
MA
04/09/2019 - 03/10/2021
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC (BOSTON MA)
MA
05/07/2018 - 04/04/2019
MORGAN STANLEY (WELLESLEY MA)
BOTH
Issued 11/21/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/2018
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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