Bret A. Williams

VESTECH SECURITIES

St. Louis, MO 63141

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CRD#: 1634515

Professional summary

Bret Allen Williams is a registered financial professional currently at VESTECH SECURITIES, INC. located in St. Louis, Missouri.

Bret is registered as a RR (Registered Representative) and started their career in finance in 1987. Bret has worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bret Allen Williams's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 17, 2017 - Present

VESTECH SECURITIES, INC.

Office #1: 11477 Olde Cabin Rd. Suite 310, St. Louis, MO 63141

CRD#: 41409

St. Louis, MO

Past

September 20, 2017 - October 29, 2018

IBN FINANCIAL SERVICES, INC.

CRD#: 42360

LIVERPOOL, NY

Past

August 30, 2016 - August 15, 2017

FREEDOM INVESTORS CORP.

CRD#: 23714

Barrington, IL

Past

May 19, 2008 - August 26, 2016

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

BARRINGTON, IL

Past

October 18, 2006 - June 13, 2008

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BARRINGTON, IL

Past

March 31, 2003 - October 18, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

BARRINGTON, IL

Past

January 1, 2002 - March 31, 2003

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

June 10, 1997 - January 1, 2002

CONTINENTAL CAPITAL SECURITIES, INC

CRD#: 14635

SYLVANIA, OH

Past

January 13, 1997 - June 17, 1997

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

December 17, 1993 - January 14, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 10, 1990 - January 1, 1994

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

December 2, 1988 - July 26, 1990

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

April 29, 1987 - December 17, 1988

OBERWEIS SECURITIES, INC.

CRD#: 7739

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(8/11/2025)

Arizona
(3/3/2025)

California
(8/17/2017)

Colorado
(12/2/2024)

Connecticut
(6/17/2025)

Florida
(8/17/2017)

Illinois
(8/17/2017)

Indiana
(6/25/2025)

Iowa
(8/21/2017)

Kentucky
(8/17/2017)

Maryland
(6/18/2025)

Michigan
(8/29/2017)

Minnesota
(4/7/2025)

Nevada
(1/26/2024)

New York
(10/10/2017)

North Carolina
(3/31/2025)

Ohio
(1/24/2024)

Tennessee
(1/26/2024)

Texas
(8/30/2017)

Utah
(8/18/2017)

Virginia
(10/10/2017)

Exams

State Security Law Exam

Series 63

Date: 7/21/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VESTECH SECURITIES, INC.

CRD#: 41409 / SEC#: , 8-49409

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

11477 Olde Cabin Rd. Suite 310, St. Louis, MO 63141

Mailing Address

11477 Olde Cabin Rd. Suite 310, St. Louis, MO 63141

Phone number

(314) 828-2111

Established

Kansas since 03/13/1996

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HUANG, JOHN CHUNEN	PRESIDENT	2659909
KNESE, PAUL BERNARD	AML OFFICER AND DSO	2541241
RAMIREZ, MARCO ANTONIO	CCO	4702164

Disclosures

Regulatory Event

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.

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Bret A. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bret Allen Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

IBN FINANCIAL SERVICES, INC.

FREEDOM INVESTORS CORP.

NEWPORT COAST SECURITIES, INC.

NATIONAL SECURITIES CORPORATION

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CONTINENTAL CAPITAL SECURITIES, INC

MESIROW FINANCIAL, INC.

UBS FINANCIAL SERVICES INC.

ROBERT W. BAIRD & CO. INCORPORATED

HAMILTON INVESTMENTS, INC.

OBERWEIS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/21/1987

SIE

Date: 10/1/2018

Series 7

Date: 4/25/1987

FINRA

Current Firm

VESTECH SECURITIES, INC.

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VESTECH SECURITIES, INC.

TRUST BUT VERIFY

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