Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Wick is a financial professional with over 39 years of experience in the financial services industry. William has a strong background in the financial markets and has been registered with Wells Fargo Clearing Services, LLC since October 2020. William holds the Series 7, Series 31, and Series 65 licenses as well as the SIE designation. In addition to providing financial advice, William also owns a real estate development company, Trout River Properties, LLC. William works with clients to help them achieve their financial goals, whether it be retirement planning, college savings, or estate planning. William is committed to providing his clients with personalized service and advice to help them make informed financial decisions.
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.
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.
Investment consulting services to institutional clients
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
VT
10/15/2020 - Present
Wells Fargo Clearing Services, LLC (BURLINGTON VT)
NC
07/03/2008 - 10/23/2020
UBS FINANCIAL SERVICES INC. (SOUTHERN PINES NC)
VT
04/02/2007 - 07/09/2008
MORGAN STANLEY & CO. INCORPORATED (BURLINGTON VT)
VT
05/16/1984 - 04/02/2007
MORGAN STANLEY DW INC. (BURLINGTON VT)
NA
05/16/1983 - 04/26/1984
PRUDENTIAL-BACHE SECURITIES INC.
NA
06/28/1982 - 05/13/1983
E. F. HUTTON & COMPANY INC
IA
Issued 04/17/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/06/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 06/19/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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