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 Robert Williams was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 10 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2011 - June 1, 2012
QUESTAR CAPITAL CORPORATION
March 3, 2010 - June 3, 2011
SIGNATOR FINANCIAL SERVICES, INC.
July 29, 2009 - December 17, 2009
AMERICAN EQUITY CAPITAL, INC.
August 9, 2006 - August 2, 2007
NYLIFE SECURITIES LLC
November 18, 2003 - August 17, 2004
OSAIC FS, INC.
October 18, 2001 - October 2, 2003
NEW ENGLAND SECURITIES
August 7, 1998 - October 15, 2001
PRUCO SECURITIES, LLC.
April 20, 1995 - July 25, 1997
MONY SECURITIES CORPORATION
April 28, 1992 - November 3, 1994
MSI FINANCIAL SERVICES, INC.
March 29, 1984 - November 3, 1994
METROPOLITAN LIFE INSURANCE COMPANY
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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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