James D. Williams

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CRD#: 1704071

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.

James David Williams, who also goes by David Williams, James Williams, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1988. James had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Williams | James Williams

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 10, 2005 - April 18, 2017

SYNOVUS SECURITIES, INC.

RIA

CRD#: 14023

ATLANTA, GA

Past

January 10, 2005 - April 18, 2017

SYNOVUS SECURITIES, INC.

CRD#: 14023

ATLANTA, GA

Past

August 3, 1998 - April 24, 2000

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

July 15, 1997 - December 10, 2004

SOUTHTRUST SECURITIES, LLC

RIA

CRD#: 17922

ATLANTA, GA

Past

September 25, 1996 - August 3, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

April 30, 1992 - January 10, 2005

SOUTHTRUST SECURITIES, LLC

CRD#: 17922

BIRMINGHAM, AL

Past

March 30, 1988 - March 2, 1989

WACHOVIA BROKERAGE SERVICE

CRD#: 17503

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SYNOVUS SECURITIES, INC.

CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.

CRD#: 14023 / SEC#: 801-19690, 8-34709

RIA

Registered Investment Advisory firm - SEC (9/1/1983 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/17/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1988

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 6/26/1987

Municipal Securities Representative Examination

Current Firm

SYNOVUS SECURITIES, INC.

CRD#: 14023 / SEC#: 801-19690, 8-34709

RIA

Registered Investment Advisory firm - SEC (9/1/1983 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

33 W 14th Street 3rd Floor, Columbus, GA 31901

Mailing Address

P.o. Box 2628, Columbus, GA 31902-2628

Phone number

(706) 649-2327

Established

Georgia since 06/27/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

287

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CREATIVE FINANCIAL GROUP ADV PART 2A (11/3/2025)

SYNOVUS SECURITIES, INC. ADV PART 2A (11/3/2025)

SYNOVUS SECURITIES, INC. APPENDIX 1 WRAP BROCHURES (11/3/2025)

Direct owners and executive officers

Name	Position	CRD#
SYNOVUS FINANCIAL CORP.	SYNOVUS SECURITIES, INC PARENT
BROOKS, WILLIAM THOMAS	CHIEF COMPLIANCE OFFICER	5028846
ELEAM, JENNA KELLEY	CHIEF FINANCIAL OFFICER / FINOP	7801582
GUNDERSON, GENE FREDERICK	DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE	2914172
HILL, JAYNE BARRY	DIRECTOR/PRESIDENT OF WEALTH SERVICES	7660902
KIRK, LEAH JEANETTE	CHIEF OPERATIONS OFFICER	2217286
LAW, ROBERT WARD	PRESIDENT - CFG DIVISION	1399885
MCKENZIE, MICHELLE JESSUP	ROP	2475731
SEXTON, GUY LEONARD	EVP/DIRECTOR	1204541
VARNER, ROBERT PARKER	PRESIDENT	2192715

Regulatory assets under management

Total Number of Accounts	11,990
AUM (Assets Under Management)	$ 7,086,116,735

Disclosures

Regulatory Event	10
Arbitration	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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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Firm Stability Insights

James D. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SYNOVUS SECURITIES, INC.

IFMG SECURITIES, INC.

SOUTHTRUST SECURITIES, LLC

INDEPENDENT FINANCIAL SECURITIES, INC.

SOUTHTRUST SECURITIES, LLC

WACHOVIA BROKERAGE SERVICE

Primary Firm SEC Registration

SYNOVUS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/22/1999

Series 63

Date: 6/17/1992

SIE

Date: 4/18/2017

Series 7

Date: 3/19/1988

Series 52

Date: 6/26/1987

Current Firm

SYNOVUS SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

SYNOVUS SECURITIES, INC.

TRUST BUT VERIFY

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