Wayne L. 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.
Wayne Lee Williams SR, who also goes by Wayne Lee Williams, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1983. Wayne had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 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
July 2, 2018 - September 19, 2023
INDEPENDENT FINANCIAL GROUP, LLC
July 2, 2018 - September 19, 2023
INDEPENDENT FINANCIAL GROUP, LLC
November 1, 2017 - July 5, 2018
CETERA WEALTH SERVICES, LLC
September 20, 2017 - July 5, 2018
CETERA WEALTH SERVICES, LLC
June 13, 2008 - November 1, 2017
GIRARD SECURITIES, INC.
June 13, 2008 - November 1, 2017
GIRARD SECURITIES, INC.
October 31, 2005 - June 13, 2008
OSAIC SERVICES, INC.
October 31, 2005 - June 13, 2008
OSAIC SERVICES, INC.
April 30, 2003 - November 23, 2006
PROFESSIONAL ADVISORY SERVICES,INC.
December 16, 1997 - October 31, 2005
SENTRA SECURITIES CORPORATION
April 16, 1997 - October 31, 2005
SENTRA SECURITIES CORPORATION
August 1, 1995 - April 16, 1997
LAGUNA SECURITIES, INC.
September 9, 1991 - August 1, 1995
WEALTH RESOURCE CAPITAL CORPORATION
April 10, 1989 - August 28, 1991
CETERA WEALTH SERVICES, LLC
May 27, 1983 - April 10, 1989
AMERICAN PACIFIC SECURITIES CORPORATION
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 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.
