Karey A. 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.
Karey Ann Williams, who also goes by Karey Ann Hampton, Karey Ann Hamptonwilliams, Karey Ann Kane, was a registered financial professional .
Karey is a previously registered financial professional and started their career in finance in 1988. Karey had worked at 11 firms and has passed the Series 63, Series 82TO, SIE, Series 7, Series 52, Series 53 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
June 27, 2023 - June 28, 2024
T.S. PHILLIPS INVESTMENTS, INC.
May 23, 2023 - January 9, 2024
PEAK BROKERAGE SERVICES, LLC
October 11, 2021 - February 14, 2025
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
March 3, 2021 - December 31, 2022
GREAT POINT CAPITAL LLC
October 25, 2019 - March 10, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
May 4, 2015 - March 22, 2019
SANCTUARY SECURITIES, INC.
September 19, 2012 - November 3, 2014
R.W. SMITH & ASSOCIATES, LLC
February 22, 1994 - March 26, 2012
WOLFE & HURST BOND BROKERS INC.
April 3, 1992 - April 21, 1994
UBS FINANCIAL SERVICES INC.
December 6, 1989 - February 11, 1992
CHAPDELAINE TULLETT PREBON, LLC
February 18, 1988 - December 16, 1989
J.J. KENNY DRAKE, 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
Series 82TO
Date: 5/23/2023
Limited Representative-Private Securities OfferingsCurrent Firm
T.S. PHILLIPS INVESTMENTS, INC.
CRD#: 124348 / SEC#: , 8-65661
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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