William John Niederauer, who also goes by William J Niederauer, is a registered financial advisor at LPL FINANCIAL LLC located in Goshen, New York.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
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1) 1/2023- Quest Advisory- DBA for LPL Business (entity for LPL business)- inv. related- Goshen, NY 2) 1/2023 - Yankee Advisor Network- Non-Variable Insurance- agent selling Life Insurance, Fixed Annuity- Newtown, CT - start date 5/5/2017- 5hrs/mth
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (3)
New Jersey (2/1/2023)
New York (2/1/2023)
New York (2/1/2023)
SRO REGISTRATIONS (1)
Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
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Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
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