David W. 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.
David Wright Williams was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2017 - October 30, 2017
WNJ CAPITAL, INC.
September 30, 2004 - March 30, 2015
PNC CAPITAL MARKETS LLC
June 29, 1995 - September 13, 2004
UBS FINANCIAL SERVICES INC.
July 21, 1983 - March 17, 1995
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WNJ CAPITAL, INC.
CRD#: 167903 / SEC#: , 8-69282
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
