Joseph S. Williams
Professional summary
Joseph Stanley Williams was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Joseph had worked at 6 firms, which includes ELSWICK BANKS AND ASSOCIATES INC., FIRST COLONIAL SECURITIES, INVESTORS ASSOCIATES INC., CC&Q INVESTORS DIVERSIFIED INC., CHATFIELD DEAN & CO. INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 1998 - October 20, 1998
ELSWICK, BANKS AND ASSOCIATES, INC.
May 7, 1997 - March 25, 1998
FIRST COLONIAL SECURITIES
December 3, 1992 - May 12, 1997
INVESTORS ASSOCIATES, INC.
June 12, 1992 - December 17, 1992
CC&Q INVESTORS DIVERSIFIED, INC.
November 30, 1990 - June 5, 1992
CHATFIELD DEAN & CO., INC.
February 6, 1990 - November 30, 1990
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ELSWICK, BANKS AND ASSOCIATES, INC.
CRD#: 43252 / SEC#: , 8-50197
Contact information
Documents
Red Flags
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