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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Thomas Theis has been in the financial industry since January 30, 1990. Currently, William Thomas Theis is a registered representative of Raymond James & Associates, Inc., and has been with them since September 1999. William Thomas Theis specializes in providing financial planning, portfolio management and other investment services. William Thomas Theis is registered to provide securities services in 34 states. William Thomas Theis also provides investment advisory services in Ohio and Texas.
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.
Please see note in schedule d - miscellaneous
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
OH
05/13/2019 - Present
Raymond James & Associates, Inc. (WESTLAKE OH)
MI
05/11/1998 - 10/07/1999
RONEY & CO. (DETROIT MI)
MI
06/14/1996 - 05/11/1998
RONEY & CO. L.L.C. (DETROIT MI)
NY
03/25/1994 - 06/05/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
01/23/1990 - 04/22/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 08/20/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/09/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/30/2001
Series 24 - General Securities Principal Examination
BC
Issued 05/26/2000
Series 4 - Registered Options Principal Examination
BC
Issued 05/15/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/15/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 01/20/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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