Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam San roman is a financial advisor with Northwestern Mutual Investment Services, LLC. William has been a financial advisor for over 3 years and holds the Series 7, 63, and SIE licenses. William is registered to provide investment advice in 26 states and the District of Columbia. William's professional experience is focused on providing investment advice to a variety of clients including individuals, businesses and institutions.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
NY
09/14/2020 - Present
Northwestern Mutual Investment Services, LLC (MELVILLE NY)
BC
Issued 10/10/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/22/2021
Series 7TO - General Securities Representative Examination
BC
Issued 09/12/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 08/15/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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