Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Stein is a registered investment advisor representative with Avantax Advisory Services, a firm with a large number of clients and assets under management. William has been in the industry since 1996 and has a wide range of experience. William holds several licenses including the Series 7, Series 63, and Series 65 exams. William also has experience with insurance sales. William can provide financial planning services and portfolio management for both businesses and individuals. William also provides financial planning services and participates in educational seminars. William is located in Elmhurst, New York.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
NY
09/01/2021 - Present
Avantax Advisory Services (Elmhurst NY)
NY
01/13/1999 - 01/18/2002
PRIME CAPITAL SERVICES, INC. (POUGHKEEPSIE NY)
AZ
12/06/1996 - 01/13/1999
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
IA
Issued 11/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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