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 Mode is a financial advisor at Stifel, Nicolaus & Company, Inc.. William has been in the financial industry since 2005. William has worked at multiple firms including Wells Fargo Clearing Services, LLC and Carter, Terry & Company, Inc.. William is registered as a broker-dealer and an investment advisor representative in several states.
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.
1
2
NC
10/01/2018 - Present
Stifel, Nicolaus & Company, Inc. (HICKORY NC)
NC
04/24/2006 - 09/25/2018
WELLS FARGO CLEARING SERVICES, LLC (HICKORY NC)
GA
04/22/2005 - 05/01/2006
CARTER, TERRY & COMPANY, INC. (ATLANTA GA)
BOTH
Issued 06/19/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/13/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/20/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/02/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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