Alberta W. 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.
Alberta West Williams, who also goes by Alberta West Course, Alberta W Williams, was a registered financial professional .
Alberta is a previously registered financial professional and started their career in finance in 1997. Alberta had worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2012 - June 26, 2013
TRUIST SECURITIES, INC.
November 14, 2008 - April 17, 2009
ASSOCIATED SECURITIES CORP.
November 6, 2008 - April 17, 2009
ASSOCIATED SECURITIES CORP.
July 30, 2008 - June 15, 2011
MEADOWBROOK SECURITIES LLC
October 18, 2007 - July 21, 2008
INVESTMENT ADVISORS INTERNATIONAL, INC.
October 5, 2007 - July 9, 2008
WORLD GROUP SECURITIES, INC.
January 8, 2007 - September 25, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 26, 2005 - September 25, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 27, 2003 - August 23, 2005
MORGAN STANLEY DW INC.
March 18, 1997 - August 23, 2005
MORGAN STANLEY DW 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
Current Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
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.
