David J. Williams
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David John Williams, who also goes by Dave Williams, David J Williams, David Williams, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 9 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2009 - September 30, 2014
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
October 3, 2007 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 2007 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 1999 - November 15, 2006
VINING-SPARKS IBG, LLC
June 17, 1996 - June 10, 1999
SCOTT & STRINGFELLOW, LLC
November 21, 1990 - November 2, 1995
BANC OF AMERICA SECURITIES LLC
August 1, 1989 - November 5, 1990
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 30, 1986 - June 5, 1989
FIRST FUNDS, INC.
August 18, 1983 - October 16, 1985
UBS FINANCIAL SERVICES INC.
December 21, 1982 - August 8, 1983
MARION BASS SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
CRD#: 6950 / SEC#: 801-68820, 8-18971
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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.
