David Brewster Williams
Professional Summary
David Brewster Williams is a registered financial advisor currently at WILLIAMS TRADING LLC located in Westport, Connecticut. David is registered as a RR (Registered Representative) and started their career in finance in 1989. David has worked at 6 firms and has passed the Series 63, Series 3, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
WILLIAMS TRADING LLC
Contact Information
Main Address
450 Post Road East Suite 120, Westport, CT 06880Mailing Address
450 Post Road East Suite 120, Westport, CT 06880Phone Number
(203) 353-7600Established
Connecticut since 12/31/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (31 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, DAVID BREWSTER | MANAGING MEMBER/GENERAL SECURITIES PRINCIPAL | 1715713 |
| GOERTZ, JOSEPH THOMAS | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | 5607738 |
| MARCIANO, LANCE DANIEL | CHIEF OPERATING OFFICER | 2261020 |
| MOONEY, MATTHEW BRIAN | REGISTERED OPTIONS PRINCIPAL | 3100953 |
| MOROVATI, BABAK BOBBY | CFO/FINANCIAL OPERATIONS PRINCIPAL/PFO/POO | 5650049 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(9/7/2023)
(3/21/2005)
(5/6/1998)
(2/19/2004)
(7/19/2000)
(6/11/2018)
(5/11/2005)
(12/20/2007)
(3/12/2004)
(6/25/2018)
(7/18/2018)
(11/1/2006)
(2/19/2004)
(6/22/2018)
(6/11/2018)
(8/5/2004)
(8/12/1997)
(4/13/2012)
(6/11/2018)
(4/13/2012)
(7/18/2018)
(7/3/2006)
(4/4/2024)
(6/11/2018)
(1/10/2018)
(5/28/1998)
(3/8/2024)
(5/8/2012)
(5/11/1998)
(6/11/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed May 2001SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Brewster Williams's CRS (Customer Relationship Summary).
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