Stephen M. 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.
Stephen Michael Rambo Williams, who also goes by Stephen Michael Williams, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2023 - October 22, 2025
STONEHAVEN, LLC
March 22, 2016 - June 27, 2022
FORESIDE FUNDS DISTRIBUTORS LLC
September 28, 1994 - October 7, 1997
CANTOR FITZGERALD & CO.
November 13, 1990 - May 24, 1993
LEHMAN BROTHERS INC.
October 19, 1989 - September 5, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 22, 1987 - July 18, 1989
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STONEHAVEN, LLC
CRD#: 118913 / SEC#: , 8-53699
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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