Victoria E. 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.
Victoria Escario Williams, who also goes by VIctoria E Abbey, Victoria Escario Abbey, Vicki Williams, Victoria E Williams, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1985. Victoria had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2003 - July 2, 2004
GIRARD SECURITIES, INC.
June 26, 1997 - November 19, 2003
SPELMAN & CO., INC.
November 10, 1994 - March 31, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 1991 - January 17, 1995
MARKETING ONE SECURITIES, INC.
April 20, 1989 - March 29, 1990
METROPOLITAN LIFE INSURANCE COMPANY
April 20, 1989 - March 29, 1990
MSI FINANCIAL SERVICES, INC.
May 22, 1987 - June 22, 1988
MONY SECURITIES CORPORATION
May 22, 1987 - June 28, 1988
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
May 17, 1985 - March 18, 1987
NYLIFE SECURITIES LLC
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
GIRARD SECURITIES, INC.
CRD#: 18697 / SEC#: 801-61470, 8-36920
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARGERS ACQUISITION LLC | SHAREHOLDER | |
| BALLARD, JAMES DAVID | VP | 1714327 |
| BARRAGAN, JOHN ARTHUR III | PRESIDENT/COO | 2941942 |
| GRAHAM, LUANNE MARIE | ADVISORY CCO | 2310126 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBSEN, BRYAN K | B-D CCO, SECRETARY | 3055957 |
| KLICMAN, SHIRLEY ANNE | VP | 1771713 |
| OLSON, GREGORY ALAN | ASST. SECRETARY | 2692482 |
| ROGERS, JASON DYLAN | SENIOR EXECUTIVE VP | 2641674 |
| SHERROD, TRACI LYNN | AVP | 4321192 |
| SMILEY, STANLEY ROBERT | VP | 3004604 |
| TIETJEN, MARGARET SUSAN | CHIEF EXECUTIVE OFFICER/ DIRECTOR | 1294862 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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