Unclaimed
William Lewis is a financial advisor with over 27 years of experience in the financial services industry. William has been with Morgan Stanley since 2021 and has previously worked with UBS Financial Services Inc., CRT Capital Group LLC, Weeden & Co. L.P., UBS Securities LLC, Smith Barney Inc., Salomon Brothers Inc., Rodman & Renshaw Inc., and Banca IMI Securities Corp. William holds FINRA Series 7, 55, 63, and 66 licenses, and is registered to provide investment advice in several states. William provides portfolio management services to individuals, businesses, and investment companies. William also offers financial planning, pension consulting, and educational seminars.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
09/07/2021 - Present
Morgan Stanley (Vero Beach FL)
FL
09/17/2012 - 09/14/2021
UBS FINANCIAL SERVICES INC. (VERO BEACH FL)
CT
03/24/2008 - 05/09/2012
CRT CAPITAL GROUP LLC (STAMFORD CT)
CT
06/26/2006 - 03/25/2008
WEEDEN & CO.L.P. (GREENWICH CT)
NY
07/20/1998 - 06/19/2006
UBS SECURITIES LLC (NEW YORK NY)
NY
11/29/1997 - 08/06/1998
SMITH BARNEY INC. (NEW YORK NY)
NY
03/06/1996 - 08/06/1998
SALOMON BROTHERS INC. (NEW YORK NY)
IL
10/19/1995 - 02/26/1996
RODMAN & RENSHAW INC. (CHICAGO IL)
NY
10/03/1994 - 04/28/1995
BANCA IMI SECURITIES CORP. (NEW YORK NY)
BOTH
Issued 10/09/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/19/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/30/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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