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Arthur Williams

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CRD#: 1408659
AW

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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Arthur Williams | Art Williams | Artie Williams

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
This individual, in their capacity as a Lead Advisor at CIG Capital Advisors, also serves as an Investment Advisor Representative for CIG Asset Management, Inc. (an SEC Registered Investment Advisor) a subsidiary of CIG Capital Advisors, the Parent Company of CIG Securities, Inc. As an Investment Advisor Representative, this individual has the ability to provide clients of CIG Capital Advisors with investment-related advice. This individual's roles as an Investment Advisor Representative is directly related to and encompassed by their role as a Lead Advisor at CIG Capital Advisors. Therefore, all of this individual's working hours are devoted to investment-related activities.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 10, 2023 - September 1, 2023

TRADITION INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 325015
SANTA ROSA BEACH, FL
Past

September 9, 2022 - March 14, 2023

CIG ASSET MANAGEMENT, INC.

RIA
CRD#: 123609
SOUTHFIELD, MI
Past

September 9, 2022 - March 14, 2023

CIG SECURITIES

BD
CRD#: 129864
SOUTHFIELD, MI
Past

April 9, 2021 - July 20, 2021

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
JACKSONVILLE, FL
Past

March 12, 2021 - July 14, 2021

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
JACKSONVILLE, FL
Past

January 8, 2019 - May 15, 2019

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
Ridgewood, NJ
Past

May 10, 2018 - October 11, 2019

BLUESKY INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 226711
RIDGEWOOD, NJ
Past

December 23, 2015 - January 18, 2017

GROTON SECURITIES LLC

BD
CRD#: 126600
NEW YORK, NY
Past

March 23, 1998 - March 8, 2006

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

October 9, 1997 - March 27, 1998

LEXINGTON FUNDS DISTRIBUTOR, INC.

BD
CRD#: 8194
SCOTTSDALE, AZ
Past

October 7, 1985 - January 16, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/8/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/30/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/18/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/2015
General Securities Representative Examination

Current Firm

TI
TRADITION INVESTMENT MANAGEMENT, LLC
TRADITION INVESTMENT MANAGEMENT, LLC

CRD#: 325015 / SEC#:

Florida
Registered Investment Advisory firm - (6/13/2023 Approved)
Tennessee
Registered Investment Advisory firm - (8/11/2023 Approved)
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Contact information

Main Address
Panama City Beach, FL
Mailing Address
Phone number
(973) 699-3890
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts56
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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

TRADITION INVESTMENT MANAGEMENT, LLC

CRD#: 325015

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