Patricia J. Williams

THE DELTA GROUP

Napa, CA 94559

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CRD#: 1006661

Professional summary

Patricia Jean Williams is a registered financial advisor currently at THE DELTA GROUP located in Napa, California and OAK TREE SECURITIES, INC. located in Sonoma, California.

Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Patricia has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

OWNS DELTA ADVISORS AN RIA FIRM. Author - 5 to 10 hours per week after market hours. Medicine Wheel Orchard - Grows fruit and sells at farmers markets, approximately 1 to 2 hours per week. Favrile - Selling sewing related supplies to friends and family. Very low volume, done on weekends.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patricia Jean Williams's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 27, 2021 - Present

THE DELTA GROUP

Office #1: 2265 Sea Hero Ct., Napa, CA 94559

RIA

CRD#: 111852

Napa, CA

Current

January 1, 1991 - Present

OAK TREE SECURITIES, INC.

Office #1: 1151 Broadway Suite 105, Sonoma, CA 94576

RIA

CRD#: 18126

Sonoma, CA

Past

July 8, 1997 - December 31, 2020

THE DELTA GROUP

RIA

CRD#: 111852

LOS ALTOS, CA

Past

January 1, 1989 - December 19, 1990

E.F. DALY FINANCIAL GROUP

CRD#: 20434

Past

June 28, 1988 - February 14, 1989

NIF SECURITIES, INC.

CRD#: 8530

NEWPORT BEACH, CA

Past

March 10, 1988 - April 4, 1988

PIM FINANCIAL SERVICES, INC.

CRD#: 10547

SAN MARCOS, CA

Past

February 26, 1985 - May 19, 1988

GRANITE CAPITAL

CRD#: 15219

Past

September 23, 1983 - March 20, 1985

LPL FINANCIAL LLC

CRD#: 6413

Past

October 14, 1982 - September 26, 1983

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Past

November 26, 1981 - May 5, 1982

WADDELL & REED

CRD#: 866

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/1/1991)

IAR

California
(1/27/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/22/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/19/1981

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 9/15/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/14/1983

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

THE DELTA GROUP

DELTA ADVISORS | THE DELTA GROUP | DELTA ADVISORS INC

CRD#: 111852 / SEC#: 801-21129

RIA

Registered Investment Advisory firm - (7/19/2012 Terminated)

California

Registered Investment Advisory firm - (1/27/2021 Approved)

Rhode Island

Registered Investment Advisory firm - (1/8/2024 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2265 Sea Hero Ct., Napa, CA 94559

Mailing Address

Po Box 1532, Sonoma, CA 95476

Phone number

(415) 640-6770

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	29
AUM (Assets Under Management)	$ 40,100,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Patricia J. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patricia Jean Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAK TREE SECURITIES, INC.

THE DELTA GROUP

E.F. DALY FINANCIAL GROUP

NIF SECURITIES, INC.

PIM FINANCIAL SERVICES, INC.

GRANITE CAPITAL

LPL FINANCIAL LLC

FINANCIAL PLANNERS EQUITY CORPORATION

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 63

Date: 11/22/1983

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1983

Series 22

Date: 11/19/1981

Series 6

Date: 9/15/1981

Series 24

Date: 11/14/1983

FINRA

Current Firm

THE DELTA GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE DELTA GROUP

TRUST BUT VERIFY

Contact information

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