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 Morlock is a financial professional with over 23 years of experience in the financial services industry. William has held various roles, including positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Securities LLC, and SG Americas Securities, LLC. William is currently a Registered Representative with RBC Capital Markets, LLC. William's primary focus is providing portfolio management services for a wide range of clients including high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and pooled investment vehicles. William also has a strong background in financial planning and specializes in serving the needs of 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.
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2
NY
11/08/2017 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
08/01/2012 - 11/06/2017
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
NY
10/30/2006 - 06/19/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/04/1998 - 09/26/2006
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 11/25/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 03/31/2014
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 09/05/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/23/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/1998
Series 7 - General Securities 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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