Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Walton Brown is a financial advisor with over 50 years of experience in the industry. William is currently registered with RBC Capital Markets, LLC and has been with the firm since June 2014. Prior to RBC Capital Markets, LLC, William worked at J.P. MORGAN SECURITIES LLC for over 25 years. William has a wide range of experience in the financial services industry and is committed to providing his clients with personalized financial advice and investment management services. William holds a Series 7TO, SIE, PC, Series 5, and Series 1 license. William specializes in providing investment advice to individuals, high-net-worth individuals, corporations, charitable organizations, and pooled investment vehicles. William has a strong track record of success and is dedicated to helping his clients achieve their financial goals.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CA
06/18/2014 - Present
RBC Capital Markets, LLC (BEVERLY HILLS CA)
CA
01/09/1989 - 05/23/2014
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
NA
07/28/1986 - 12/09/1988
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
NA
03/16/1979 - 03/17/1986
OPPENHEIMER & CO., INC.
NA
07/13/1978 - 01/16/1980
A. G. BECKER INCORPORATED
NA
06/09/1976 - 07/13/1978
BECKER SECURITIES INCORPORATED
NA
02/10/1975 - 06/18/1976
LOEB RHOADES & CO
NA
07/03/1974 - 02/15/1975
REYNOLDS SECURITIES, INC.
NA
08/07/1973 - 07/26/1974
CLARK, DODGE & CO., INCORPORATED
NA
01/12/1972 - 09/03/1973
REYNOLDS SECURITIES, INC.
IA
Issued 10/11/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/12/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/1991
PC - AMEX Put and Call Exam
BC
Issued 10/22/1981
Series 5 - Interest Rate Options Examination
BC
Issued 01/03/1972
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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