WD
Firm Information
Compensation
Commission-BasedFixed/Hourly
Number of Advisors
5 advisors
Number of Clients
11 clients
Average Client Portfolio
Not specified
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Advisor Information
Office location
250 Park Avenue, 10th Floor, New York, NY, 10177
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
William coaches club softball, starting in January 2021. This activity takes about 10-20% of his time and is not investment-related.
Employment History
Current Registrations
Needham & Company, LLC
January 2021 - Present · 5 yrs
Needham & Company, LLC
January 2021 - Present · 5 yrs
Needham & Company, LLC Broker
January 2021 - Present · 5 yrs
Previous Registrations
Nuveen Asset Management, LLC
March 2011 - August 2020 · 9 yrs 5 mos
Nuveen Securities, LLCBroker
January 2011 - August 2020 · 9 yrs 7 mos
Quasar Distributors, LLCBroker
July 2007 - January 2011 · 3 yrs 6 mos
Evergreen Investment Services, INC.Broker
December 1999 - June 2007 · 7 yrs 6 mos
Oppenheimerfunds Distributor, INC.Broker
July 1993 - November 1999 · 6 yrs 4 mos
State Registrations28 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.