Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Booker has been a registered investment advisor since 1982 and has worked at UBS Financial Services Inc. since 2010. Previously, William worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Herzog, Heine, Geduld, LLC and Broadcort Capital Corp. William has a wide range of experience in the financial services industry, having worked in various roles, including as a registered representative, principal, and advisor. William has a strong track record of success in the industry and is committed to providing his clients with personalized financial advice and investment solutions. William is registered in numerous states and holds multiple professional licenses and designations.
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
NJ
04/22/2010 - Present
UBS Financial Services Inc. (FLORHAM PARK NJ)
NJ
06/14/2005 - 04/26/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SHORT HILLS NJ)
NY
09/07/2000 - 10/24/2002
HERZOG, HEINE, GEDULD, LLC (NEW YORK NY)
NY
05/02/2001 - 07/03/2001
BROADCORT CAPITAL CORP. (NEW YORK NY)
NY
02/12/1982 - 09/06/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 07/22/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/15/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/02/1996
Series 24 - General Securities Principal Examination
BC
Issued 02/14/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/15/1982
Series 3 - National Commodity Futures Examination
BC
Issued 12/19/1981
Series 7 - General Securities 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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