Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Ward Doty is a financial advisor with over 30 years of experience in the financial services industry. William is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in New York and Texas. William has previously worked with Goldman, Sachs & Co. in New York. William has a strong background in financial markets and has extensive experience providing investment advice to individuals, corporations, and institutions. He is also a certified financial planner and holds a Series 7, Series 3, Series 5, Series 15, Series 31, Series 63, and Series 65 licenses. William is committed to providing his clients with personalized financial advice and investment management services tailored to their individual needs.
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
NY
07/02/1999 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WHITE PLAINS NY)
NY
10/23/1991 - 07/27/1999
GOLDMAN, SACHS & CO. (NEW YORK NY)
NA
09/20/1984 - 07/01/1988
GOLDMAN, SACHS & CO.
IA
Issued 09/03/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/27/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 11/27/1991
Series 3 - National Commodity Futures Examination
BC
Issued 10/16/1991
Series 7 - General Securities Representative Examination
BC
Issued 10/14/1986
Series 15 - Foreign Currency Options Examination
BC
Issued 09/25/1986
Series 5 - Interest Rate Options 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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