Dana K. Williams

EQUINET

KANSAS CITY, MO 64113

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CRD#: 1122547

Professional summary

Dana Kristin Williams is a registered financial advisor currently at EQUINET, INC. located in Kansas City, Missouri.

Dana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Dana has worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dana Kristin 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®

None

Experience

Current

December 28, 1987 - Present

EQUINET, INC.

Office #1: 3 East 68th Terrace, Kansas City, MO 64113

RIA

CRD#: 116175

KANSAS CITY, MO

Past

October 12, 1990 - February 12, 1991

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

Past

March 25, 1988 - December 31, 1989

FIRST MIDWEST CAPITAL CORP.

CRD#: 18499

Past

May 25, 1983 - December 21, 1987

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

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.

Highlighted states indicate IAR registrations

IAR

Kansas
(12/28/1987)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/6/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/29/1988

General Securities Principal Examination

Current Firm

EQUINET, INC.

CRD#: 116175 / SEC#:

Kansas

Registered Investment Advisory firm - (12/28/1987 Approved)

Missouri

Registered Investment Advisory firm - (5/26/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3006 W. 83rd Street, Leawood, KS 66206

Mailing Address

Phone number

(816) 665-3592

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 4,641,612

Red Flags

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Dana K. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dana Kristin Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUINET, INC.

GUARDIAN INVESTOR SERVICES LLC

FIRST MIDWEST CAPITAL CORP.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/6/1983

Series 7

Date: 5/21/1983

Series 24

Date: 11/29/1988

Current Firm

EQUINET, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EQUINET, INC.

TRUST BUT VERIFY

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