Robert B. 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.
Robert Bailey Williams, who also goes by Hector Williams, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 9 firms and has passed the Series 63, Series 7, Series 52 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
January 31, 2013 - August 4, 2014
HB SECURITIES, LLC
August 11, 2010 - April 20, 2012
SLOAN SECURITIES CORP.
February 18, 1999 - August 4, 2010
GRANT WILLIAMS L.P.
October 17, 1997 - February 8, 1999
J. B. HANAUER & CO.
September 21, 1994 - October 28, 1997
BARCLAY INVESTMENTS LLC
June 1, 1990 - January 26, 1994
COMMONWEALTH SECURITIES AND INVESTMENTS, INC.
October 24, 1989 - June 25, 1990
WCMI, INC.
March 20, 1989 - October 7, 1989
A. WEBSTER DOUGHERTY & CO., INCORPORATED
May 28, 1987 - February 8, 1989
HARTFIELD, TITUS & DONNELLY, LLC
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
HB SECURITIES, LLC
CRD#: 140356 / SEC#: , 8-67307
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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