Robert K. 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.
Robert Kent Williams was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 9 firms and has passed the Series 63, Series 22 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 1991 - October 3, 1994
INVESTORS SECURITY COMPANY, INC.
November 19, 1989 - April 29, 1991
OSAIC WEALTH, INC.
June 22, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 1, 1988 - January 1, 1989
HIBBARD BROWN & CO., INC.
November 25, 1987 - February 5, 1988
HERITAGE EQUITY PLANNING CORPORATION
January 8, 1986 - October 6, 1987
GREEN HILL FINANCIAL SERVICE CORPORATION
March 27, 1985 - January 14, 1986
PW SECURITIES, INC.
July 12, 1984 - April 4, 1985
AETNA FINANCIAL SERVICES, INC.
June 19, 1983 - January 28, 1986
AETNA LIFE INSURANCE AND ANNUITY 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
Series 2
Date: 7/6/1982
Non-Member General Securities ExaminationCurrent Firm
INVESTORS SECURITY COMPANY, INC.
CRD#: 2331 / SEC#: 801-57968, 8-12111
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLOWAY, CHRISTOPHER MATTHEW | PRESIDENT/CHIEF COMPLIANCE OFFICER | 3124769 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
| 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.
