David 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.
David Michael Williams was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2015 - June 6, 2016
PARETO SECURITIES INC.
October 16, 2006 - October 10, 2012
CARNEGIE, INC.
May 15, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
November 28, 1995 - September 13, 2005
UBS SECURITIES LLC
August 6, 1992 - December 1, 1995
CREDIT SUISSE SECURITIES (USA) LLC
March 16, 1989 - June 4, 1992
MORGAN STANLEY & CO. LLC
November 8, 1984 - December 31, 1988
MORGAN STANLEY & CO. LLC
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 55
Date: 7/30/2015
Limited Representative-Equity Trader ExamCurrent Firm
PARETO SECURITIES INC.
CRD#: 44734 / SEC#: , 8-50796
Contact information
FINRA licenses (24 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PARETO SECURITIES AS | STOCKHOLDER | |
| ALFHEIM, NIKLAS REINHOLD | HEAD OF FIXED INCOME SALES | 7593087 |
| DUHONJ, BORJAN NMN | HEAD OF EQUITY SALES & TRADING | 6869523 |
| HAAVALDSEN, EIRIK NMN | DIRECTOR | 7644368 |
| JOMAAS, CHRISTIAN NMN | DIRECTOR | 7182355 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| SPAVENTA, ANTONELLA NMN | CEO, POO & CHIEF COMPLIANCE OFFICER | 4441100 |
| ULLNER, KARL HENRIK | REGISTERED PRINCIPAL | 2860967 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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