CW
Carl M. Williams
PROSPERA FINANCIAL SERVICES
Peroria, IL 61614
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CRD#: 1721736
CW
Professional summary
Carl Michael Williams JR, who also goes by Carl Michael Williams Jr., Carl Michael Williams, is a registered financial advisor currently at PROSPERA FINANCIAL SERVICES, INC. located in Peroria, Illinois.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Carl has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carl Michael Williams Jr. | Carl Michael 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.
Peoria Players Theater; Investment Related - [No]; 4300 N University St #5823, Peoria, IL 61614; Board Member; Start Date [01/2022]; 2 Hours Per Month, 0 During Trading Hours; Volunteer for local theatre troupe
CRS (Client Relationship Summary) - RIA
Click below to view Carl Michael Williams JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carl Michael Williams JR's 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®
NoneExperience
Current
April 19, 2024 - Present
PROSPERA FINANCIAL SERVICES, INC.
Office #1: 7206 N Terra Vista Dr Suite 100, Peroria, IL 61614RIA
BD
CRD#: 10740
Peroria, IL
Current
April 19, 2024 - Present
PROSPERA FINANCIAL SERVICES, INC.
Office #1: 7206 N Terra Vista Dr Suite 100, Peroria, IL 61614RIA
BD
CRD#: 10740
Peroria, IL
Past
April 16, 2020 - April 23, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
PEORIA, IL
Past
April 16, 2020 - April 23, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
PEORIA, IL
Past
March 4, 2015 - April 17, 2020
CHAPIN, DAVIS
BD
CRD#: 28116
PEORIA, IL
Past
April 16, 2013 - April 17, 2020
CHAPIN, DAVIS
RIA
CRD#: 28116
PEORIA, IL
Past
July 5, 2001 - December 31, 2012
WILLIAMS INVESTMENT NETWORK, INC.
RIA
CRD#: 123941
BARTONVILLE, IL
Past
October 26, 1994 - May 24, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 16, 1994 - October 31, 1994
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
January 7, 1994 - June 3, 1994
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
April 11, 1988 - February 14, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 18, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
PF
PROSPERA FINANCIAL SERVICES, INC.
ACCREDITED FIDUCIARY ADVISORS, LLC | WAITS FINANCIAL GROUP | TWIN RIVER WEALTH MANAGEMENT | TVC WEALTH | TN WEALTH MANAGEMENT | THE RAGUSA GROUP | THE OPTIMA GROUP | THE FINANCIAL MAESTRO, LLC | THE FINANCIAL MAESTRO | THE DANIAS GROUP | THE BISHOFF FINANCIAL GROUP | TESTA & ASSOCIATES LLC | TCA FINANCIAL GROUP, LLC | TAYLOR & ASSOCIATES | SUMMIT INVESTMENTS | STONEBRIDGE WEALTH MANAGEMENT | STOCKS WEALTH MANAGEMENT | SPEICHER PRIVATE WEALTH | SOUTHERN INVESTMENT PARTNERS | SOURCE ROCK CAPITAL MANAGEMENT | SILVERTHORN INVESTMENTS | SILVER CREEK FINANCIAL GROUP, LLC | SILVA FINANCIAL GROUP | SIERRA PACIFIC WEALTH MANAGEMENT | SHAFRANEK, FLANAGAN AND GREGORY | SECURITY FIRST GROUP | SCATOLINI WEALTH MANAGEMENT | SARA GIBBS WEALTH MANAGEMENT | SABELHAUS WEALTH PARTNERS | ROBERT JAMES INVESTMENTS | RIVERSTONE FINANCIAL GROUP | RICK WHITEHURST ASSET MANAGEMENT | REED WEALTH MANAGEMENT | REDWOOD ADVISORY GROUP | REAGAN JAMES WEALTH ADVISORS | REAGAN HOLLOWAY | REAGAN CONSULTING, LLC | PYLE FINANCIAL SERVICES | PSE WEALTH MANAGEMENT | PROVIDENT STRATEGIES GROUP | PROSPERA WEALTH ADVISORS | PROSPERA FINANCIAL SERVICES, INC. | PROSPERA FINANCIAL SERVICES | PROSPERA FINANCIAL NY | PROMETHEUS WEALTH MANAGEMENT | PRICE PERKINS LLC | PLYMOUTH ROCK FINANCIAL PARTNERS | PITTSBURGH WEALTH MANAGEMENT GROUP | PHILLIPS FINANCIAL GROUP | PARKLANE FINANCIAL ADVISORS, LLC | PARACLETE WEALTH CONSULTANTS | OSSOLA WEALTH MANAGEMENT | OPTIMA WEALTH MANAGEMENT, INC | OAKES WEALTH MANAGEMENT | MYERS INVESTMENT GROUP, INC. | MOSSAKOWSKI & NICHOLS WEALTH MANAGEMENT, LLC | MONEY MATTERS 911 | MN RETIREMENT SERVICES | MILLER FINANCIAL SERVICES LLC | MICHAEL DALLAS RETIREMENT SOLUTIONS | MCMAHAN FINANCIAL, LLC | MCGUIRE-DYKE INVESTMENT GROUP | MATTHEWS FINANCIAL SERVICES | MAHON FINANCIAL | MAGELLAN WEALTH ADVISORS | LYNN WEALTH MANAGEMENT | LUNDY FINANCIAL SERVICES | LOLLIS FINANCIAL ADVISORS, LLC | LIVEOAK WEALTH ADVISORS, LLC | LITTLE & ASSOCIATES WEALTH MANAGEMENT | LEVEL WEALTH MANAGEMENT | KUTZEN FINANCIAL | KINGSLEY ADVISORS | KATZ FINANCIAL | KAPLAN WEALTH ADVISORS | JRS WEALTH MANAGEMENT | JOHNSON WEALTH MANAGEMENT | JEFF POOSCH FINANCIAL SERVICES, INC | JAMESTOWNE INVESTMENTS, LLC | JAK WEALTH MANAGEMENT | INSTITUTIONAL EQUITIES | HUDDLESTON SMITH WEALTH MANAGEMENT | HOWELL WEALTH ADVISORS | HFS SECURITIES | HEIDTKE & CO, INC | HARTMAN INVESTMENT GROUP, LLC | HANSEN, STILES & ASSOCIATES | GOFF WEALTH MANAGEMENT, LLC | GODLEY WEALTH MANAGEMENT | G4 WEALTH MANAGEMENT | FULCRUM WEALTH PLANNING | FOREMAN FINANCIAL GROUP | FOLTZ INVESTMENT GROUP, LLC | FINANCIAL E STRATEGIES, LLC | FINANCIAL AND INSURANCE ASSOCIATES | FINANCIAL & TAX STRATEGIES, LLC | FINANCIAL & INSURANCE ASSOCIATES | FIDUCIARY 401(K) | FETROW WEALTH MANAGEMENT | ERIKSEN FINANCIAL, INC | ENDURANCE WEALTH PARTNERS | EAST COAST CAPITAL MANAGEMENT | DORSEY & COMPANY | DOMINION CAPITAL PARTNERS WEALTH MANAGEMENT | DFS INVESTMENTS, LLC | DAY WEALTH MANAGEMENT | DANIAS FINANCIAL MANAGEMENT | D. PATERSON COPE WEALTH MANAGEMENT | CURMUDGEON CAPITAL LLC | CROOK WEALTH MANAGEMENT | COVINO FINANCIAL GR LTD DBA LEGACY WLTH MGMT GR | COTTONWOOD CAPITAL ADVISORS | CORDATUS WEALTH MANAGEMENT, LLC | CLEARPATH INVESTMENT | CHARNEY INVESTMENT GROUP | CHARLOTTE FINANCIAL ADVISORS | CHAPMAN WEALTH MANAGEMENT | CECILCO | CASTLEROCK FINANCIAL ADVISORS | CASCADE WEALTH MANAGEMENT | CARDWELL AND ASSOCIATES | CAPTRUST FINANCIAL ADVISORS | C E GAYE AND SONS SECURITIES | BULLINGER WEALTH MANAGEMENT | BUCHANAN CAPITAL, INC | BRIAN L SMITH FINANCIAL ADVISORS | BOTEL ASSET MANAGEMENT | BOB BENNIE WEALTH MANAGEMENT | BLANCHARD FINANCIAL SERVICES | BESPOKE PRIVATE WEALTH ADVISORS | BENTLEY & COMPANY INVESTMENTS | BENNETT JENSEN PERSONAL WEALTH ADVISORS | BELL WEALTH MANAGEMENT LLC | BEDNARZ FINANCIAL | BECKER SUFFERN MCLANAHAN, LTD | BARRY VOGEL & ASSOCIATES | BARRIGER & CO, INC. | BARNETT FINANCIAL PARTNERS, INC | BACKE PAGE GROUP | ASSET CAPITAL MANAGEMENT | ASCENDANT FINANCIAL ADVISORS | ARK FINANCIAL MANAGEMENT, LLC | ARBITRAGE MANAGEMENT GROUP | ALEX SHORE FINANCIAL | ADELAIDE WEALTH ADVISORS | ADDISON SECURITIES, INC. | ACM WEALTH MANAGEMENT...
CRD#: 10740 / SEC#: 801-65845, 8-28164
RIA
Registered Investment Advisory firm - SEC (2/1/2006 Approved)Texas
Registered Investment Advisory firm - SEC (2/2/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alaska(4/19/2024)
RR
Arizona(6/17/2024)
RR
California(4/19/2024)
RR
Colorado(7/10/2024)
RR
Florida(4/19/2024)
RR
Georgia(4/19/2024)
RR
Illinois(6/17/2024)
IAR
Illinois(6/17/2024)
RR
Indiana(4/19/2024)
RR
Iowa(4/19/2024)
RR
Kansas(4/22/2024)
RR
Maryland(4/19/2024)
RR
Minnesota(6/25/2024)
RR
Mississippi(6/19/2024)
RR
Missouri(4/19/2024)
RR
New Mexico(4/19/2024)
RR
New York(4/19/2024)
RR
North Carolina(4/19/2024)
RR
Ohio(4/19/2024)
RR
Oregon(6/30/2024)
RR
Pennsylvania(4/19/2024)
RR
South Carolina(4/19/2024)
RR
South Dakota(7/1/2024)
RR
Tennessee(4/19/2024)
RR
Texas(5/22/2024)
RR
Virginia(4/19/2024)
RR
Washington(4/19/2024)
RR
Wisconsin(4/19/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PF
PROSPERA FINANCIAL SERVICES, INC.
ACCREDITED FIDUCIARY ADVISORS, LLC | WAITS FINANCIAL GROUP | TWIN RIVER WEALTH MANAGEMENT | TVC WEALTH | TN WEALTH MANAGEMENT | THE RAGUSA GROUP | THE OPTIMA GROUP | THE FINANCIAL MAESTRO, LLC | THE FINANCIAL MAESTRO | THE DANIAS GROUP | THE BISHOFF FINANCIAL GROUP | TESTA & ASSOCIATES LLC | TCA FINANCIAL GROUP, LLC | TAYLOR & ASSOCIATES | SUMMIT INVESTMENTS | STONEBRIDGE WEALTH MANAGEMENT | STOCKS WEALTH MANAGEMENT | SPEICHER PRIVATE WEALTH | SOUTHERN INVESTMENT PARTNERS | SOURCE ROCK CAPITAL MANAGEMENT | SILVERTHORN INVESTMENTS | SILVER CREEK FINANCIAL GROUP, LLC | SILVA FINANCIAL GROUP | SIERRA PACIFIC WEALTH MANAGEMENT | SHAFRANEK, FLANAGAN AND GREGORY | SECURITY FIRST GROUP | SCATOLINI WEALTH MANAGEMENT | SARA GIBBS WEALTH MANAGEMENT | SABELHAUS WEALTH PARTNERS | ROBERT JAMES INVESTMENTS | RIVERSTONE FINANCIAL GROUP | RICK WHITEHURST ASSET MANAGEMENT | REED WEALTH MANAGEMENT | REDWOOD ADVISORY GROUP | REAGAN JAMES WEALTH ADVISORS | REAGAN HOLLOWAY | REAGAN CONSULTING, LLC | PYLE FINANCIAL SERVICES | PSE WEALTH MANAGEMENT | PROVIDENT STRATEGIES GROUP | PROSPERA WEALTH ADVISORS | PROSPERA FINANCIAL SERVICES, INC. | PROSPERA FINANCIAL SERVICES | PROSPERA FINANCIAL NY | PROMETHEUS WEALTH MANAGEMENT | PRICE PERKINS LLC | PLYMOUTH ROCK FINANCIAL PARTNERS | PITTSBURGH WEALTH MANAGEMENT GROUP | PHILLIPS FINANCIAL GROUP | PARKLANE FINANCIAL ADVISORS, LLC | PARACLETE WEALTH CONSULTANTS | OSSOLA WEALTH MANAGEMENT | OPTIMA WEALTH MANAGEMENT, INC | OAKES WEALTH MANAGEMENT | MYERS INVESTMENT GROUP, INC. | MOSSAKOWSKI & NICHOLS WEALTH MANAGEMENT, LLC | MONEY MATTERS 911 | MN RETIREMENT SERVICES | MILLER FINANCIAL SERVICES LLC | MICHAEL DALLAS RETIREMENT SOLUTIONS | MCMAHAN FINANCIAL, LLC | MCGUIRE-DYKE INVESTMENT GROUP | MATTHEWS FINANCIAL SERVICES | MAHON FINANCIAL | MAGELLAN WEALTH ADVISORS | LYNN WEALTH MANAGEMENT | LUNDY FINANCIAL SERVICES | LOLLIS FINANCIAL ADVISORS, LLC | LIVEOAK WEALTH ADVISORS, LLC | LITTLE & ASSOCIATES WEALTH MANAGEMENT | LEVEL WEALTH MANAGEMENT | KUTZEN FINANCIAL | KINGSLEY ADVISORS | KATZ FINANCIAL | KAPLAN WEALTH ADVISORS | JRS WEALTH MANAGEMENT | JOHNSON WEALTH MANAGEMENT | JEFF POOSCH FINANCIAL SERVICES, INC | JAMESTOWNE INVESTMENTS, LLC | JAK WEALTH MANAGEMENT | INSTITUTIONAL EQUITIES | HUDDLESTON SMITH WEALTH MANAGEMENT | HOWELL WEALTH ADVISORS | HFS SECURITIES | HEIDTKE & CO, INC | HARTMAN INVESTMENT GROUP, LLC | HANSEN, STILES & ASSOCIATES | GOFF WEALTH MANAGEMENT, LLC | GODLEY WEALTH MANAGEMENT | G4 WEALTH MANAGEMENT | FULCRUM WEALTH PLANNING | FOREMAN FINANCIAL GROUP | FOLTZ INVESTMENT GROUP, LLC | FINANCIAL E STRATEGIES, LLC | FINANCIAL AND INSURANCE ASSOCIATES | FINANCIAL & TAX STRATEGIES, LLC | FINANCIAL & INSURANCE ASSOCIATES | FIDUCIARY 401(K) | FETROW WEALTH MANAGEMENT | ERIKSEN FINANCIAL, INC | ENDURANCE WEALTH PARTNERS | EAST COAST CAPITAL MANAGEMENT | DORSEY & COMPANY | DOMINION CAPITAL PARTNERS WEALTH MANAGEMENT | DFS INVESTMENTS, LLC | DAY WEALTH MANAGEMENT | DANIAS FINANCIAL MANAGEMENT | D. PATERSON COPE WEALTH MANAGEMENT | CURMUDGEON CAPITAL LLC | CROOK WEALTH MANAGEMENT | COVINO FINANCIAL GR LTD DBA LEGACY WLTH MGMT GR | COTTONWOOD CAPITAL ADVISORS | CORDATUS WEALTH MANAGEMENT, LLC | CLEARPATH INVESTMENT | CHARNEY INVESTMENT GROUP | CHARLOTTE FINANCIAL ADVISORS | CHAPMAN WEALTH MANAGEMENT | CECILCO | CASTLEROCK FINANCIAL ADVISORS | CASCADE WEALTH MANAGEMENT | CARDWELL AND ASSOCIATES | CAPTRUST FINANCIAL ADVISORS | C E GAYE AND SONS SECURITIES | BULLINGER WEALTH MANAGEMENT | BUCHANAN CAPITAL, INC | BRIAN L SMITH FINANCIAL ADVISORS | BOTEL ASSET MANAGEMENT | BOB BENNIE WEALTH MANAGEMENT | BLANCHARD FINANCIAL SERVICES | BESPOKE PRIVATE WEALTH ADVISORS | BENTLEY & COMPANY INVESTMENTS | BENNETT JENSEN PERSONAL WEALTH ADVISORS | BELL WEALTH MANAGEMENT LLC | BEDNARZ FINANCIAL | BECKER SUFFERN MCLANAHAN, LTD | BARRY VOGEL & ASSOCIATES | BARRIGER & CO, INC. | BARNETT FINANCIAL PARTNERS, INC | BACKE PAGE GROUP | ASSET CAPITAL MANAGEMENT | ASCENDANT FINANCIAL ADVISORS | ARK FINANCIAL MANAGEMENT, LLC | ARBITRAGE MANAGEMENT GROUP | ALEX SHORE FINANCIAL | ADELAIDE WEALTH ADVISORS | ADDISON SECURITIES, INC. | ACM WEALTH MANAGEMENT...
CRD#: 10740 / SEC#: 801-65845, 8-28164
RIA
Registered Investment Advisory firm - SEC (2/1/2006 Approved)Texas
Registered Investment Advisory firm - SEC (2/2/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
5429 Lbj Freeway Suite 750, Dallas, TX 75240
Mailing Address
5429 Lbj Freeway Suite 750, Dallas, TX 75240
Phone number
(972) 581-3000
Established
Texas since 07/16/1982
Firm type
Corporation
Fiscal year end
June
Firm Size
Medium
# of Employees
333
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROSPERA FINANCIAL, LLC | HOLDING COMPANY | |
| BAXTER, SHAWN | CHIEF COMPLIANCE OFFICER | 4346594 |
| EDWARDS, TIM ALAN | CO-CEO | 1569619 |
| KERN, EDWARD | CHIEF FINANCIAL OFFICER | 4364143 |
| PASCUZZI, RICHARD DEAN | EXECUTIVE VICE PRESIDENT, SECRETARY | 711548 |
| STRINGER, DAVID WALTER | CO-CEO | 1410548 |
| WILLIAMS, TARAH ELIZABETH | PRESIDENT, CHIEF OPERATING OFFICER | 2727706 |
Regulatory assets under management
| Total Number of Accounts | 29,500 |
| AUM (Assets Under Management) | $ 12,435,115,072 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/26/2025 | ||
| 04/23/2024 |
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.
