Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Peet is an active broker and investment advisor representative in Connecticut. William Peet is currently registered with Natwest Markets Securities Inc.. William Peet has a total of 11 years of experience in the securities industry. William Peet has passed 10 exams, including the Series 63, Series 53, Series 24, Series 57TO, Series 99TO, Series 52TO, SIE, Series 55, Series 7, and Series 6.
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.
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CT
08/17/2023 - Present
Natwest Markets Securities Inc. (STAMFORD CT)
NJ
11/17/2022 - 03/20/2023
MORGAN STANLEY (Jersey City NJ)
NJ
04/16/2015 - 03/20/2023
E*TRADE SECURITIES LLC (Jersey City NJ)
NY
09/21/2001 - 05/07/2015
FSC SECURITIES CORPORATION (NEW YORK NY)
MN
05/17/2013 - 04/21/2015
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
TX
03/20/2013 - 04/21/2015
VALIC FINANCIAL ADVISORS, INC. (HOUSTON TX)
AZ
05/07/2008 - 04/21/2015
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
NY
05/06/1991 - 04/21/2015
ROYAL ALLIANCE ASSOCIATES, INC. (NEW YORK NY)
NY
09/21/2001 - 03/03/2009
ADVANTAGE CAPITAL CORPORATION (NEW YORK NY)
AZ
05/07/2008 - 10/29/2008
AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)
BC
Issued 05/11/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/12/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/24/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/05/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/05/1995
Series 7 - General Securities Representative Examination
BC
Issued 05/03/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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