James H. Williams
Professional summary
James Houston Williams, who also goes by James Houston Williams II, is a registered financial professional currently at FINANCIAL TELESIS INC located in San Rafael, California.
James is registered as a RR (Registered Representative) and started their career in finance in 1986. James has worked at 77 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Houston Williams's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 24, 1992 - Present
FINANCIAL TELESIS INC
Office #1: 4340 Redwood Highway Suite B-75, San Rafael, CA 94903January 29, 2015 - December 22, 2015
LPL FINANCIAL LLC
August 27, 2014 - December 22, 2015
LPL FINANCIAL LLC
July 25, 2014 - December 17, 2015
GLOBAL RETIREMENT PARTNERS LLC
May 16, 2014 - November 14, 2014
TWO POINT ROYAL, LLC
April 7, 2014 - January 2, 2015
ABD RETIREMENT SERVICES, INC.
February 19, 2013 - August 6, 2014
HUB INTERNATIONAL INVESTMENT SERVICES INC.
December 21, 2012 - October 13, 2014
ARCHPOINT PARTNERS LLC
February 8, 2012 - August 6, 2014
DBO PARTNERS LLC
January 25, 2012 - August 15, 2014
THE COURTNEY GROUP, LLC
November 3, 2011 - August 28, 2014
DISCERN SECURITIES, INC.
May 6, 2011 - May 25, 2012
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
October 19, 2010 - May 14, 2012
TFA SECURITIES, INC.
October 19, 2010 - August 14, 2014
BRIDGE STREET SECURITIES, LLC
March 31, 2010 - August 4, 2014
FMV CAPITAL MARKETS, LLC
February 18, 2010 - August 15, 2014
LINK SECURITIES LLC
December 10, 2009 - August 13, 2014
SILVERGROVE ADVISORS LLC
November 19, 2009 - August 19, 2014
HIGGINS CAPITAL MANAGEMENT, INC.
January 16, 2009 - January 5, 2010
XFA SECURITIES, LLC
June 2, 2008 - March 26, 2009
RETIREMENT CAPITAL GROUP SECURITIES, INC.
February 23, 2008 - October 7, 2011
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
January 25, 2008 - August 14, 2014
STRATEGIC MARKETING SOLUTIONS LTD., LLC
December 21, 2007 - January 22, 2008
BLAYLOCK VAN, LLC
August 28, 2007 - October 18, 2017
TWD SECURITIES, LLC
August 23, 2007 - April 28, 2008
AW SECURITIES
August 6, 2007 - January 22, 2008
BLAYLOCK & COMPANY, INC.
May 3, 2007 - June 7, 2007
RETIREMENT CAPITAL GROUP SECURITIES, INC.
January 29, 2007 - February 22, 2008
STONEHAVEN, LLC
October 11, 2006 - February 27, 2009
ANZUS CAPITAL LLC
September 8, 2006 - May 11, 2010
WHITE OAK MERCHANT PARTNERS LLC
August 30, 2006 - August 14, 2014
BRIDGEWATER JAMES LIMITED, LLC
August 17, 2006 - December 8, 2006
ALARIS TRADING PARTNERS, LLC
July 20, 2006 - September 30, 2010
EASTERN DENTAL BROKERAGE SERVICES, LLC
May 11, 2006 - November 16, 2009
GH HASTINGS ASSOCIATES LLC
May 3, 2006 - June 20, 2006
URCHIN CAPITAL PARTNERS, LLC
January 4, 2006 - April 6, 2006
ELECTRONIC GLOBAL SECURITIES, INC.
November 22, 2005 - January 24, 2011
WOOD WARREN & CO. SECURITIES, LLC
September 28, 2005 - May 28, 2009
TORA TRADING SERVICES, LLC
August 25, 2005 - July 30, 2014
COLUMBIA WEST CAPITAL, LLC
July 8, 2005 - September 24, 2009
VANIR SECURITIES, INC.
December 6, 2004 - August 1, 2014
RAINIER SECURITIES, LLC
November 12, 2004 - August 4, 2005
RELIANCE CAPITAL MANAGEMENT ADVISORS LLC
November 10, 2004 - March 13, 2015
FINANCIAL TELESIS INC
October 13, 2004 - August 24, 2010
ALDERWOOD CAPITAL LLC
August 27, 2004 - December 23, 2011
NEWFORTH PARTNERS, LLC
May 7, 2004 - August 4, 2006
STONEHAVEN, LLC
March 23, 2004 - March 15, 2006
WEALTH SPACE ASSET MANAGEMENT
December 12, 2003 - October 19, 2005
CONSOR ADVISORS LLC
November 17, 2003 - August 26, 2014
Q ADVISORS LLC
September 10, 2003 - November 12, 2004
SLATE CAPITAL LLC
January 10, 2003 - February 17, 2005
URCHIN CAPITAL PARTNERS, LLC
July 23, 2002 - March 17, 2008
EAST PEAK ADVISORS, LLC
May 16, 2002 - April 15, 2008
CHATHAM FINANCIAL SECURITIES LLC
February 15, 2002 - January 6, 2005
WILLIAM GALLAGHER ASSOCIATES INVESTMENT SERVICES GROUP, INC.
January 28, 2002 - March 19, 2010
DENNING & COMPANY LLC
December 19, 2001 - February 12, 2002
REDWOOD TRADING, LLC
October 17, 2001 - April 4, 2003
TRADEWEB DIRECT LLC
October 5, 2001 - July 9, 2002
FORTREND SECURITIES, INC.
September 6, 2001 - August 5, 2002
STINSON SECURITIES, LLC
February 28, 2001 - June 28, 2004
WOODRUFF-SAWYER RETIREMENT PLAN SERVICES, INC.
December 19, 2000 - March 9, 2005
PETKEVICH & PARTNERS, LLC
September 12, 2000 - June 18, 2001
MARKETOCRACY BROKERAGE SERVICES LLC
August 2, 2000 - January 7, 2003
HADLEY PARTNERS, INCORPORATED
July 10, 2000 - May 7, 2013
MARTINWOLF
March 3, 2000 - September 27, 2000
ELECTRONIC GLOBAL SECURITIES, INC.
February 9, 2000 - January 3, 2003
RIDGEWAY HELMS SECURITIES CORPORATION
January 18, 2000 - February 15, 2000
CLEMENTS COMPANY INVESTMENT ADVISORS
December 17, 1999 - December 15, 2004
BLACKROCK EXECUTION SERVICES
October 5, 1999 - January 2, 2000
CAMERON-LION SECURITIES, LLC
July 23, 1999 - October 7, 1999
ORION TRADING, LLC
July 13, 1999 - February 25, 2000
BRITEHORN SECURITIES
March 8, 1999 - July 12, 1999
SAN FRANCISCO SECURITIES, INC.
October 9, 1998 - June 2, 2000
FITZGERALD CAPITAL ADVISERS, LTD.
August 24, 1998 - June 2, 2010
BLUEPRINT CAPITAL MARKETS
January 22, 1998 - April 8, 1998
SIFE
November 18, 1997 - August 28, 2000
PENSCO PENSION SERVICES, INC.
March 24, 1997 - August 30, 2001
RUSSIAN RIVER FINANCIAL SERVICES, INC.
April 26, 1996 - March 17, 2003
BRECEK & YOUNG ADVISORS, INC.
April 8, 1996 - March 31, 2008
ROBERT VAN SECURITIES, INC.
January 30, 1996 - April 13, 2009
CAPITAL CONCEPTS INVESTMENT CORP.
September 21, 1994 - December 11, 2007
MANAGED INVESTMENTS, INC.
September 8, 1988 - February 23, 1994
GRIGSBY & ASSOCIATES, INC.
December 26, 1986 - August 24, 1988
PLANNED INVESTMENTS 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
(8/25/2004)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FINANCIAL TELESIS INC
CRD#: 31012 / SEC#: 801-63974, 8-45304
Contact information
FINRA licenses (6 States and Territories)
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
FINANCIAL TELESIS INC
CRD#: 31012San Rafael, CA 94903TRUST BUT VERIFY
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