Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Moening is a financial advisor with RBC Capital Markets, LLC. William has been in the financial industry since July 1998. Prior to joining RBC Capital Markets, LLC, William worked at Wells Fargo Clearing Services, LLC and Banc of America Investment Services, Inc. William holds Series 6, 7, 24, 26 and 66 licenses as well as the SIE. William is also a Certified Financial Planner. William specializes in providing financial planning, portfolio management for individuals and businesses, and service public and private employee benefit plans, endowment funds, foundations, family trusts, and various capital/operating funds.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
02/22/2024 - Present
RBC Capital Markets, LLC (AUSTIN TX)
TX
04/13/2009 - 12/21/2023
WELLS FARGO CLEARING SERVICES, LLC (AUSTIN TX)
TX
04/20/1998 - 02/25/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (AUSTIN TX)
BOTH
Issued 04/28/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/21/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/30/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/12/2001
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2008
Series 7 - General Securities Representative Examination
BC
Issued 04/17/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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