Malinda N. Williams
Professional summary
Malinda Nadene Williams is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Malinda is registered as a RR (Registered Representative) and started their career in finance in 1986. Malinda has worked at 20 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Malinda Nadene Williams's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 11, 2015 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245December 11, 2015 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245December 11, 2015 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245December 11, 2015 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245December 11, 2015 - November 29, 2016
VSR FINANCIAL SERVICES, INC.
December 11, 2015 - November 29, 2016
INVESTORS CAPITAL CORP.
December 11, 2015 - December 31, 2016
LEGEND EQUITIES CORPORATION
December 11, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
December 11, 2015 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
December 11, 2015 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
May 19, 2014 - November 30, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 8, 2013 - May 23, 2014
SECURITY CAPITAL BROKERAGE, INC.
November 18, 1999 - October 4, 2012
JACKSON SECURITIES LLC
February 10, 1999 - August 18, 1999
COMPULIFE INVESTOR SERVICES, INC.
January 6, 1999 - February 12, 1999
IFG NETWORK SECURITIES, INC.
August 1, 1994 - December 14, 1998
BANC OF AMERICA SECURITIES LLC
March 31, 1992 - August 10, 1994
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 30, 1989 - March 31, 1992
NATIONSBANC SECURITIES OF GEORGIA, INC.
March 27, 1987 - December 21, 1988
MONY SECURITIES CORPORATION
March 19, 1986 - June 7, 1989
FSC SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/14/2015)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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