Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Jennings is an active broker-dealer and investment advisor representative registered with Stifel, Nicolaus & Company, Inc. William has been in the industry since 2013. William is registered in 52 states and has worked for several firms including UBS Financial Services Inc., Investment Professionals, Inc. and Barclays Capital Inc. William has earned the Series 7, SIE, and Series 66 licenses.
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.
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
MA
12/04/2015 - Present
Stifel, Nicolaus & Company, Inc. (BOSTON MA)
MA
03/05/2015 - 12/04/2015
BARCLAYS CAPITAL INC. (BOSTON MA)
TX
07/15/2013 - 03/26/2015
INVESTMENT PROFESSIONALS, INC. (SAN ANTONIO TX)
MA
03/14/2011 - 03/21/2011
UBS FINANCIAL SERVICES INC. (ROCKLAND MA)
BOTH
Issued 05/30/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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