Stephen R. Williams

STEPHEN R WILLIAMS INVESTMENT ADVISOR LLC

TALLAHASSEE, FL

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CRD#: 1138226

Professional summary

Stephen Ray Williams is a registered financial advisor currently at STEPHEN R WILLIAMS INVESTMENT ADVISOR LLC located in Tallahassee, Florida.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Stephen has worked at 2 firms and has passed the Series 65, Series 63, Series 22 and Series 6 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.

CEO FOR A MANUFACTURING COMPANY ELBERTA CRATE & BOX CO EMPLOYED SINCE MARCH 1989

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Ray 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

May 14, 1998 - Present

STEPHEN R WILLIAMS INVESTMENT ADVISOR LLC

RIA

CRD#: 127516

TALLAHASSEE, FL

Past

July 7, 1983 - July 16, 1996

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

Florida
(5/14/1998)

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

IAR

Series 65

Date: 3/5/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/30/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 1/21/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/30/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

STEPHEN R WILLIAMS INVESTMENT ADVISOR LLC

STEPHEN R WILLIAMS INVESTMENT ADVISOR LLC | STEPHEN R WILLIAMS INVESTMENT ADVISOR, INC.. | STEPHEN R WILLIAMS INVESTMENT ADVISOR, INC.

CRD#: 127516 / SEC#:

Florida

Registered Investment Advisory firm - (5/14/1998 Approved)

Georgia

Registered Investment Advisory firm - (12/6/2011 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

Tallanassee, FL

Mailing Address

Phone number

(850) 509-6095

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 9,000,000

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.

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Stephen R. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Ray Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEPHEN R WILLIAMS INVESTMENT ADVISOR LLC

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/5/1998

Series 63

Date: 6/30/1983

Series 22

Date: 1/21/1985

Series 6

Date: 6/30/1983

Current Firm

STEPHEN R WILLIAMS INVESTMENT ADVISOR LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STEPHEN R WILLIAMS INVESTMENT ADVISOR LLC

TRUST BUT VERIFY

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