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Michael Dean Williams

CRD# 1420132·Registered 1986 - 2012
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Dean Williams, who also goes by Mike Dean Williams, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1986 - 2012. 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.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mike Dean Williams

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

WFG ADVISORS, LP·CRD# 125073
RIA
Oklahoma City, OK
September 28, 2005 - June 13, 2012
WFG INVESTMENTS, INC.·CRD# 22704
BD
Oklahoma City, OK
September 26, 2005 - June 13, 2012
MORGAN STANLEY DW INC.·CRD# 7556
RIA
Norman, OK
May 15, 2001 - September 27, 2005
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
April 6, 2001 - September 27, 2005
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
March 2, 1998 - April 17, 2001
DAIN RAUSCHER INCORPORATED·CRD# 7600
BD
January 2, 1998 - March 2, 1998
RAUSCHER PIERCE REFSNES, INC.·CRD# 6663
BD
Dallas, TX
January 16, 1995 - January 2, 1998
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
April 18, 1989 - January 10, 1995
SOUTHMARK/ENVICON SECURITIES CORP.·CRD# 18746
BD
August 3, 1988 - August 25, 1988
GLOBAL CAPITAL INVESTORS CORPORATION·CRD# 11518
BD
September 24, 1986 - August 16, 1988
CONCORD ASSETS SECURITIES, INC.·CRD# 10533
BD
February 6, 1986 - July 3, 1986

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Current Firm

WA
WFG ADVISORS, LP

ATLAS WEALTH ADVISORS | WFG ADVISORS, LP | THE RUDD COMPANY | ROSEHILL ASSET MANAGEMENT | BROOKS INVESTMENT PROFESSIONALS

CRD#: 125073 / SEC#: 801-61945

Contact Information

Main Address

2711 N Haskell Ave Suite 2900, Dallas, TX 75204

Documents

Latest Form ADV

Part 2 Brochures

WFGA WRAP PROGRAM BROCHURE 2016 (8/1/2016)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 1992About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1986About the Series 63 exam

Series 31 — Futures Managed Funds Examination

Passed Feb 2005About the Series 31 exam

Series 3 — National Commodity Futures Examination

Passed Oct 1990About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Apr 1989About the Series 7 exam

Series 22 — Direct Participation Programs Representative Examination

Passed Nov 1985About the Series 22 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Aug 1992

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CRS (Client Relationship Summary)

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

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