Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Yates is an active advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. William has been in the industry since 1983 and has extensive experience in the financial services sector. William holds a Series 7, 9, 10, 24, 31, 52, 53, and 63 licenses. William has worked for a number of firms including UBS Financial Services Inc., Smith Barney Shearson Inc., and Bank of America Investment Services, Inc. William is registered with the state of California as a Broker-Dealer and Investment Advisor. William is currently an owner of 315 Vista Investment.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
10/10/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Corralitos CA)
CA
02/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (PALO ALTO CA)
NJ
11/30/1993 - 03/11/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
12/22/1983 - 12/22/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
IA
Issued 09/29/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/04/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/12/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/07/2008
Series 4 - Registered Options Principal Examination
BC
Issued 10/06/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/04/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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