GW
George A. Williams
STIFEL, NICOLAUS & COMPANY
Radford, VA 24141
Some features on this profile are disabled
CRD#: 1020428
GW
Professional summary
George Abraham Williams, who also goes by Abie Williams, George Abraham Williams Jr, George Abraham Williams Jr. Jr, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Radford, Virginia.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. George has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Abie Williams | George Abraham Williams Jr | George Abraham Williams Jr. Jr
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.
1. First Street Properties, LLC; PO Box 3186, Radford, VA 24143; Family owned commercial real estate; General Manager/Owner; 02/11/1999; 2 Hours per Month; Not during securities trading hours; Investment-Related. 2. Highlander Properties, LLC; PO Box 3186, Radford, VA 24143; Commercial & residential real estate; General Manager/Owner; 02/11/1999; 1 Hour per Month; Not during securities trading hours; Investment-Related. 3. Inglewood Properties LLC; PO Box 3186, Radford, VA 24143; Open land, residential rentals; General Manager/Owner; 02/09/1999; 1 Hour per Quarter; Not during securities trading hours; Investment-Related. 4. Radford High School Foundation, Inc.; PO Box 2823, Radford, VA 24143; Non-Profit 501 (c) 3 to support local schools; Chairman; All business transactions, overall executive leadership; 03/01/1986; 2 Hours per Month; Not during securities trading hours; Not Investment-Related. 5. First Street Development, LLC; 27 Fieldale Dr, Radford, VA 24141; Family owned real estate; General Manager/Owner; Limited admin as required; 08/31/2016; 2 Hours per Month; Not during securities trading hours; Investment-Related. 6. Central Square LLC; 27 Fieldale Drive, Radford VA 24141; Family owned real estate; General Manager; 11/27/2017; 1 hour per month; not during securities trading hours; investment related. 7. West Main 306 LLC; 27 Fieldale Drive Radford VA 24141; Family owned real estate; Owner/General Manager; passive owner; 12/15/2017; 1.00 Hour(s) Per Quarter; not during securities trading hours; Investment-Related. 8. Carolina University; 420 South Broad Street, Winston Salem, NC 27101; College University; Member, Board of Trustees; attend 3-4 meetings/year, give input and provide experience; 01/28/2019; 2.00 Hour(s) Per Quarter; During securities trading hours; Not Investment-Related. 9. Trustee; Family trust. 10. Bolling Street, LLC; Radford, VA 24143; Family owned real estate; General Manager, 95% owner; General oversight, Not an active participant in day to day activities. Assist in tax preparation, documents, etc.; 11/15/2021; 2 Hours per Month; Not during securities trading hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view George Abraham Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George Abraham 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®
NoneExperience
Current
May 20, 2010 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 222 West Main Street, Radford, VA 24141RIA
BD
CRD#: 793
Radford, VA
Current
May 20, 2010 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 222 West Main Street, Radford, VA 24141RIA
BD
CRD#: 793
Radford, VA
Past
June 1, 2009 - June 16, 2010
MORGAN STANLEY
RIA
CRD#: 149777
RADFORD, VA
Past
June 1, 2009 - June 16, 2010
MORGAN STANLEY
BD
CRD#: 149777
RADFORD, VA
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
RADFORD, VA
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
RADFORD, VA
Past
January 29, 1998 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
RADFORD, VA
Past
November 3, 1987 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
RADFORD, VA
Past
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
BD
CRD#: 2
Past
December 11, 1981 - October 30, 1987
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
Alabama(5/20/2010)
RR
Arizona(1/8/2016)
RR
Arkansas(5/20/2010)
RR
California(5/20/2010)
RR
Colorado(9/16/2011)
RR
Delaware(5/22/2018)
RR
District of Columbia(4/19/2024)
RR
Florida(5/20/2010)
RR
Georgia(5/20/2010)
RR
Illinois(5/20/2010)
RR
Indiana(5/20/2010)
RR
Iowa(2/14/2023)
RR
Kentucky(5/27/2022)
RR
Maryland(5/20/2010)
RR
Massachusetts(5/20/2010)
RR
Michigan(6/30/2021)
RR
Minnesota(12/18/2017)
RR
Mississippi(7/6/2016)
RR
Missouri(5/20/2010)
RR
Montana(1/24/2022)
RR
New York(11/29/2017)
RR
North Carolina(5/20/2010)
RR
Ohio(5/20/2010)
RR
Oklahoma(5/20/2010)
RR
Oregon(11/10/2015)
RR
Pennsylvania(5/20/2010)
RR
Rhode Island(12/11/2018)
RR
South Carolina(5/20/2010)
RR
South Dakota(4/1/2024)
RR
Tennessee(5/20/2010)
RR
Texas(5/20/2010)
IAR
Texas(11/25/2013)
RR
Utah(5/20/2010)
RR
Virginia(5/20/2010)
IAR
Virginia(5/20/2010)
RR
Washington(9/17/2012)
RR
West Virginia(5/20/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/12/1984
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
