James 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.
James Edwin Williams, who also goes by Jim Edwin Williams, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 6 firms and has passed the Series 63, Series 7 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
June 9, 2015 - August 14, 2018
SECURE INVESTMENT MANAGEMENT, LLC
June 7, 1993 - April 6, 1994
OSAIC FS, INC.
February 8, 1990 - December 3, 1991
REALTA EQUITIES, INC.
April 19, 1989 - July 26, 1989
NEW ENGLAND SECURITIES
June 10, 1986 - March 2, 1989
PLANNED MANAGEMENT COMPANY
April 30, 1984 - February 26, 1986
SENTRA SECURITIES CORPORATION
Primary Firm SEC Registration
SECURE INVESTMENT MANAGEMENT, LLC
CRD#: 141195 / SEC#: 801-80752
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
SECURE INVESTMENT MANAGEMENT, LLC
CRD#: 141195 / SEC#: 801-80752
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 825 |
| AUM (Assets Under Management) | $ 38,291,887 |
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.
