Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Sei is a financial professional with over 20 years of experience in the industry. William has a strong background in municipal securities and has held various roles at prominent firms such as Duncan-Williams, Inc., R.W. Smith & Associates, Inc., and Sentinel Brokers Company, Inc. William currently works at Bofa Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. in their Dallas office. William is registered with FINRA and holds several licenses including Series 7, Series 52, Series 53, and Series 63. William's areas of expertise include investment banking and research-related services.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
TX
11/13/2018 - Present
Bofa Securities, Inc. (DALLAS TX)
FL
08/19/2009 - 08/10/2015
INCAPITAL LLC (DELRAY BEACH FL)
IL
01/03/2007 - 08/24/2009
SENTINEL BROKERS COMPANY, INC. (CHICAGO IL)
IL
12/08/2006 - 12/19/2006
DUNCAN-WILLIAMS, INC. (CHICAGO IL)
IL
06/06/2003 - 12/15/2006
R.W. SMITH & ASSOCIATES, INC. (CHICAGO IL)
NJ
07/24/2002 - 08/28/2002
R.W. SMITH & ASSOCIATES, INC. (JERSEY CITY NJ)
BC
Issued 09/30/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/2009
Series 7 - General Securities Representative Examination
BC
Issued 07/23/2002
Series 52 - Municipal 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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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