Charles M. 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.
Charles Mason Williams JR, who also goes by Charles Mason Jr Williams, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 13 firms and has passed the Series 63, Series 7, Series 24, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2012 - April 2, 2014
CERTUSSECURITIES, INC.
January 6, 2009 - July 10, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2005 - September 30, 2008
BNP PARIBAS PRIME BROKERAGE, INC.
May 6, 2004 - December 31, 2005
BANC OF AMERICA SECURITIES LLC
February 8, 1996 - July 10, 2009
BANC OF AMERICA SECURITIES LLC
August 18, 1992 - January 16, 1996
SALOMON BROTHERS INC.
May 31, 1990 - June 26, 1992
JEFFERIES EXECUTION SERVICES, INC.
May 24, 1990 - June 26, 1992
JEFFERIES LLC
November 11, 1986 - April 2, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
April 4, 1985 - December 16, 1986
PRUDENTIAL EQUITY GROUP, LLC
February 16, 1984 - April 15, 1985
ROSE & COMPANY INVESTMENT BROKERS, INC.
September 28, 1983 - October 4, 1983
DONALD & CO. SECURITIES INC.
August 25, 1983 - October 11, 1983
FORESTERS FINANCIAL SERVICES, INC.
October 20, 1982 - December 20, 1982
BLINDER, ROBINSON & CO., INC.
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
Series 8
Date: 3/19/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CERTUSSECURITIES, INC.
CRD#: 144051 / SEC#: , 8-67627
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
