Bruce J. 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.
Bruce Joel Williams, who also goes by Williams, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1984. Bruce had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2010 - September 4, 2019
THE LEADERS GROUP, INC.
August 7, 2009 - April 21, 2010
MML INVESTORS SERVICES, LLC
July 23, 2009 - April 21, 2010
MML INVESTORS SERVICES, LLC
October 3, 2007 - July 27, 2009
INSPHERE SECURITIES, INC.
August 22, 2007 - October 3, 2007
ALLEGIS ADVISORS, INC.
August 22, 2007 - July 27, 2009
INSPHERE SECURITIES, INC.
September 1, 2006 - August 9, 2007
SUNSET FINANCIAL SERVICES, INC.
December 14, 2005 - July 3, 2006
SIGNATOR INVESTORS, INC.
October 2, 2003 - December 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 2, 2003 - December 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2001 - May 12, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 1988 - May 12, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 1987 - December 22, 1987
FEDERATION FOR FINANCIAL INDEPENDENCE
January 25, 1984 - December 13, 1986
HORNOR, TOWNSEND & KENT, 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
