Robert L. 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.
Robert Lee George Williams, who also goes by Robert L G Williams, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2003. Robert had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2012 - November 19, 2018
BALTIMORE-WASHINGTON FINANCIAL ADVISORS
March 19, 2003 - August 23, 2012
BALTIMORE WASHINGTON FINANCIAL ADVISORS INC
Primary Firm SEC Registration
BALTIMORE-WASHINGTON FINANCIAL ADVISORS
CRD#: 159388 / SEC#: 801-76893
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
BALTIMORE-WASHINGTON FINANCIAL ADVISORS
CRD#: 159388 / SEC#: 801-76893
Contact information
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,975 |
| AUM (Assets Under Management) | $ 2,828,296,993 |
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.
