John R. 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.
John Roger Williams II, who also goes by John Roger II Williams, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1983. John had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2011 - August 8, 2012
CADARET, GRANT & CO., INC.
September 22, 2011 - August 8, 2012
CADARET, GRANT & CO., INC.
February 16, 2006 - October 4, 2011
TOWER SQUARE SECURITIES, INC.
October 28, 2003 - October 4, 2011
TOWER SQUARE SECURITIES, INC.
April 29, 1997 - October 28, 2003
WEALTH EQUITY CORPORATION
November 13, 1986 - May 1, 1997
NLBS ADVISERS, INC.
May 20, 1985 - December 19, 1986
INVESTACORP, INC.
November 8, 1984 - May 29, 1985
INVESTORS BROKERAGE SERVICES, INC.
August 31, 1983 - October 29, 1984
FIRM INVESTMENT CORP
March 18, 1983 - August 6, 1983
SENTRY EQUITY SERVICES, 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
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
