Arthur 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.
Arthur Williams IV, who also goes by Arthur Williams, Art Williams, Artie Williams, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1985. Arthur had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, 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 10, 2023 - September 1, 2023
TRADITION INVESTMENT MANAGEMENT, LLC
September 9, 2022 - March 14, 2023
CIG ASSET MANAGEMENT, INC.
September 9, 2022 - March 14, 2023
CIG SECURITIES
April 9, 2021 - July 20, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 12, 2021 - July 14, 2021
FIDELITY BROKERAGE SERVICES LLC
January 8, 2019 - May 15, 2019
IMST DISTRIBUTORS, LLC
May 10, 2018 - October 11, 2019
BLUESKY INVESTMENT MANAGEMENT, LLC
December 23, 2015 - January 18, 2017
GROTON SECURITIES LLC
March 23, 1998 - March 8, 2006
MORGAN STANLEY & CO. LLC
October 9, 1997 - March 27, 1998
LEXINGTON FUNDS DISTRIBUTOR, INC.
October 7, 1985 - January 16, 1996
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
TRADITION INVESTMENT MANAGEMENT, LLC
CRD#: 325015 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 56 |
| AUM (Assets Under Management) | $ 16,029,569 |
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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