Richard T. 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.
Richard Trefz Williams was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 87, Series 16 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
January 23, 2015 - April 30, 2015
W.R. HAMBRECHT + CO., LLC
February 11, 2014 - January 14, 2015
CV BROKERAGE, INC
March 5, 2008 - December 20, 2013
CROSS RESEARCH
April 21, 2004 - May 21, 2007
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 15, 2004 - April 5, 2004
KWS ASSOCIATES, INC.
December 20, 2002 - March 5, 2004
ACCESS SECURITIES, LLC
September 10, 1997 - September 14, 2001
JEFFERIES LLC
January 28, 1995 - September 17, 1997
UBS FINANCIAL SERVICES INC.
November 20, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
May 3, 1991 - November 24, 1992
INVESTMENT PARTNERS, INC.
June 23, 1989 - February 12, 1991
CRESVALE INTERNATIONAL, INC.
January 8, 1987 - December 11, 1987
DEAM INVESTOR SERVICES, INC.
August 31, 1984 - December 11, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 22, 1984 - April 27, 1984
MABON, NUGENT & CO.
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
W.R. HAMBRECHT + CO., LLC
CRD#: 45040 / SEC#: , 8-50935
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Civil Event | 3 |
Red Flags
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