Oliver J. Williams
Professional summary
Oliver James Williams JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Oliver is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Oliver had worked at 8 firms, which includes ARGYLE SECURITIES CORP., HOWARD GARY & COMPANY A MUNICIPAL SECURITIES INVESTMENT FIRM, AIBC INVESTMENT SERVICES CORPORATION, FIRST FLORIDA SECURITIES GROUP INC., FIRST HERITAGE CORPORATION, FIRST FLORIDA SECURITIES INC., PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
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Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 1990 - May 3, 1996
ARGYLE SECURITIES CORP.
June 15, 1989 - February 1, 1990
HOWARD GARY & COMPANY, A MUNICIPAL SECURITIES INVESTMENT FIRM
December 23, 1987 - April 6, 1989
AIBC INVESTMENT SERVICES CORPORATION
February 26, 1986 - June 10, 1986
FIRST FLORIDA SECURITIES GROUP, INC.
June 10, 1985 - January 23, 1987
FIRST HERITAGE CORPORATION
July 25, 1984 - June 10, 1985
FIRST FLORIDA SECURITIES, INC.
August 8, 1983 - March 13, 1984
PRUDENTIAL EQUITY GROUP, LLC
August 6, 1981 - August 8, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Series 28
Date: 9/14/1990
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ARGYLE SECURITIES CORP.
CRD#: 26246 / SEC#: , 8-42492
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