Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Richard Aulwes is an investment advisor representative with UBS Financial Services Inc., a firm with a long history of providing financial advice. William has been in the financial industry since 1996, and is registered to provide investment advice in several states. William holds Series 6, 7, 63, and 66 licenses, and has a background in securities and investment company products. William is passionate about helping individuals and families achieve their financial goals. William is affiliated with the Phoenix, Arizona branch office of UBS Financial Services 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
AZ
07/17/2023 - Present
UBS Financial Services Inc. (PHOENIX AZ)
CA
09/23/1996 - 10/02/2006
AMERICAN FUNDS DISTRIBUTORS, INC. (BREA CA)
BOTH
Issued 07/03/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/11/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/22/2023
Series 7TO - General Securities Representative Examination
BC
Issued 02/17/2023
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1996
Series 6 - Investment Company Products/Variable Contracts 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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