Robert Williams

NOBLE CAPITAL MARKETS

Westport, CT 06880

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CRD#: 1258642

Professional summary

Robert Williams, who also goes by Bob Williams, is a registered financial professional currently at NOBLE CAPITAL MARKETS, INC. located in Westport, Connecticut.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1984. Robert has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Williams

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Williams's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 4, 2021 - Present

NOBLE CAPITAL MARKETS, INC.

Office #1: 88 Post Road West 1st Floor, Westport, CT 06880

CRD#: 15768

Westport, CT

Past

February 21, 2017 - February 2, 2021

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

READING, MA

Past

September 24, 2010 - July 24, 2017

SOURCE CAPITAL GROUP, INC.

RIA

CRD#: 36719

PUNTA GORDA, FL

Past

September 16, 2010 - April 24, 2017

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

September 12, 2008 - September 22, 2010

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

October 11, 2002 - September 22, 2010

STONEX SECURITIES INC.

CRD#: 18456

ACWORTH, GA

Past

October 19, 2000 - October 11, 2002

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

September 16, 1998 - October 19, 2000

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

November 9, 1995 - October 5, 1998

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

June 14, 1993 - November 9, 1995

L.C. WEGARD & CO., INC.

CRD#: 3722

NEW YORK, NY

Past

May 24, 1988 - June 14, 1993

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

Past

February 2, 1987 - May 31, 1988

SHERWOOD CAPITAL, INC.

CRD#: 10474

Past

May 31, 1984 - January 31, 1987

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(3/2/2021)

Florida
(2/4/2021)

Georgia
(2/22/2021)

Illinois
(3/9/2021)

Massachusetts
(10/11/2021)

Missouri
(9/21/2022)

New Jersey
(2/4/2021)

North Carolina
(2/8/2021)

Ohio
(10/3/2024)

Pennsylvania
(8/22/2025)

Tennessee
(11/13/2024)

Virginia
(2/4/2021)

Exams

State Security Law Exam

IAR

Series 65

Date: 8/7/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/8/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/13/1993

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NOBLE CAPITAL MARKETS, INC.

NOBLE CAPITAL MANAGEMENT INC | NOBLE LIFE SCIENCE PARTNERS | NOBLE INTERNATIONAL INVESTMENTS, INC. | NOBLE FINANCIAL CAPITAL MARKETS | NOBLE CAPITAL MARKETS, INC.

CRD#: 15768 / SEC#: , 8-32706

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432

Mailing Address

150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432

Phone number

(561) 994-1191

Established

Florida since 09/21/1984

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NOBLE FINANCIAL GROUP, INC.	SHAREHOLDER
LEAN, DAVID JONATHAN	CCO	3114377
PRONK, NICOLAAS PETRUS	OWNER, CEO, CFO	1726101

Disclosures

Regulatory Event	9
Arbitration	11

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Robert Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

AGES FINANCIAL SERVICES, LTD.

SOURCE CAPITAL GROUP, INC.

SOURCE CAPITAL GROUP, INC.

INTL ADVISORY CONSULTANTS INC.

STONEX SECURITIES INC.

STERNE, AGEE & LEACH, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

H.J. MEYERS & CO., INC.

L.C. WEGARD & CO., INC.

HIBBARD BROWN & CO., INC.

SHERWOOD CAPITAL, INC.

FIRST JERSEY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/7/1996

Series 63

Date: 6/8/1984

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1984

Series 24

Date: 8/13/1993

FINRA

Current Firm

NOBLE CAPITAL MARKETS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NOBLE CAPITAL MARKETS, INC.

TRUST BUT VERIFY

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