Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Duncan is a financial advisor with UBS Financial Services Inc. William has been in the industry for over 20 years and has a strong track record of success. William is registered to provide securities and investment advisory services in Alabama, California, Colorado, District of Columbia, Florida, Georgia, Indiana, Kentucky, Louisiana, Maryland, Michigan, New York, North Carolina, Tennessee and Texas. William holds the Series 7, Series 31, Series 66 and SIE securities licenses. William has experience providing financial planning, investment management, and pension consulting to a wide range of clients, including individuals, businesses, and institutional investors. William can offer a range of services, including portfolio management, retirement planning, and college savings.
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.
See schedule d - miscellaneous
1
2
KY
09/04/2007 - Present
UBS Financial Services Inc. (LOUISVILLE KY)
BOTH
Issued 7/8/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/20/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 7/5/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
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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