Rodney 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.
Rodney E Williams, who also goes by Rod Williams, Rodney Edgar Williams, was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1984. Rodney had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2018 - May 4, 2018
TD AMERITRADE, INC.
February 26, 2018 - May 4, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - May 4, 2018
TD AMERITRADE, INC.
September 11, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
April 15, 2017 - February 26, 2018
SCOTTRADE, INC.
October 14, 1999 - July 27, 2016
SCOTTRADE, INC.
November 8, 1996 - September 23, 1998
FIRST SECURITIES USA, INC.
April 9, 1987 - December 21, 1994
CHARLES SCHWAB & CO., INC.
October 16, 1985 - April 7, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
October 25, 1984 - September 3, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 8
Date: 4/30/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
