Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Sterling Roberts is a financial advisor who has been in the industry since 1972. William is currently registered with Northwestern Mutual Investment Services, LLC. William has a Series 7, Series 63, and a Series 1 license and has worked for several other firms over the years including Robert W. Baird & Co. Incorporated and New England Securities Corporation. William specializes in investment research and referrals to other advisors.
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
1
2
VA
10/09/1972 - Present
Northwestern Mutual Investment Services, LLC (RICHMOND VA)
WI
12/04/1986 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
NA
11/04/1985 - 10/24/1986
NEW ENGLAND SECURITIES CORPORATION
BC
Issued 11/15/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/1972
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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