Valence 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.
Valence Montgomery Williams, who also goes by Valence M Williams, was a registered financial professional .
Valence is a previously registered financial professional and started their career in finance in 1985. Valence had worked at 10 firms and has passed the Series 63, SIE 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
July 17, 2018 - December 19, 2023
J.H. DARBIE & CO., INC.
March 23, 2010 - July 18, 2018
AEGIS CAPITAL CORP.
March 18, 2009 - March 30, 2010
GUNNALLEN FINANCIAL, INC
October 23, 2002 - April 3, 2009
MAXIM GROUP LLC
June 1, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
May 13, 1996 - June 1, 1999
STUART, COLEMAN & CO., INC.
August 4, 1989 - April 25, 1996
MORGAN STANLEY DW INC.
June 4, 1987 - May 24, 1989
EMANUEL AND COMPANY
March 25, 1986 - June 24, 1987
PRUDENTIAL EQUITY GROUP, LLC
October 23, 1985 - March 20, 1986
LEHMAN BROTHERS INC.
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
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
