Michael D. 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.
Michael Dean Williams, who also goes by Mike Dean Williams, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 3, Series 7, Series 22 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2005 - June 13, 2012
WFG ADVISORS, LP
September 26, 2005 - June 13, 2012
WFG INVESTMENTS, INC.
May 15, 2001 - September 27, 2005
MORGAN STANLEY DW INC.
April 6, 2001 - September 27, 2005
MORGAN STANLEY DW INC.
March 2, 1998 - April 17, 2001
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 16, 1995 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
April 18, 1989 - January 10, 1995
UBS FINANCIAL SERVICES INC.
August 3, 1988 - August 25, 1988
SOUTHMARK/ENVICON SECURITIES CORP.
September 24, 1986 - August 16, 1988
GLOBAL CAPITAL INVESTORS CORPORATION
February 6, 1986 - July 3, 1986
CONCORD ASSETS SECURITIES, 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 8
Date: 8/3/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WFG ADVISORS, LP
CRD#: 125073 / SEC#: 801-61945
Contact information
Documents
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.
