SW
Seymour O. Williams
LIFEMARK SECURITIES
New York, NY 10044
Some features on this profile are disabled
CRD#: 1723554
SW
Professional summary
Seymour Otis Williams, CFP® is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in New York, New York.
Seymour is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Seymour has worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
DBA ACCOUNTABLE FINANCIAL MANAGEMENT CORP. USED FOR LIFEMARK BUSINESS AND ALL OTHER ACTIVITIES. ALL EMPLOYMENTS AT SAME ADDRESS: 501 MAIN STREET, SUITE C, NEW YORK, NY 10044. 1. TAX PREPARER / NOT INVESTMENT RELATED / SINCE 1988 / 20 HOURS/MONTH / 10 HOURS/MONTH DURING SECURITIES TRADING HOURS / SEASONAL TAX PREPARATION. 2. INDEPENDENT INSURANCE AGENT / INVESTMENT RELATED / SINCE 1988 / 20 HOURS/MONTH / 10 HOURS/MONTH DURING SECURITIES TRADING HOURS / SALES AND SERVICE OF LIFE, HEALTH, P&C PRODUCTS. 3. MORTGAGE BROKER / NOT INVESTMENT RELATED / SINCE 1988 / OWNER / 20 HOURS/WEEK / 10 HOURS/WEEK DURING SECURITIES TRADING HOURS 4. REAL ESTATE BROKER / NOT INVESTMENT RELATED / SINCE 1988 / OWNER / 20 HOURS/WEEK / 10 HOURS/WEEK DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Seymour Otis Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Seymour Otis Williams'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®
CFP®
Start date: 1992
Experience
Current
October 7, 2021 - Present
LIFEMARK SECURITIES CORP.
Office #1: 501 Main Street, Suite C, New York, NY 10044Office #2: 501 Main Street Suite C, New York, NY 10044RIA
BD
CRD#: 16204
New York, NY
Current
October 7, 2021 - Present
LIFEMARK SECURITIES CORP.
Office #1: 501 Main Street, Suite C, New York, NY 10044RIA
BD
CRD#: 16204
New York, NY
Past
October 29, 2010 - October 7, 2021
SUNSTREET SECURITIES, LLC
BD
CRD#: 143211
NEW YORK, NY
Past
October 24, 2005 - August 12, 2010
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NEW YORK, NY
Past
October 24, 2005 - August 12, 2010
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
NEW YORK, NY
Past
June 14, 2004 - October 24, 2005
C.J.M. ASSET MANAGEMENT, LLC
RIA
CRD#: 111302
POMPTON LAKES, NJ
Past
May 14, 2004 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
Past
December 1, 2003 - April 27, 2004
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
December 1, 2003 - April 27, 2004
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
May 27, 2003 - December 4, 2003
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
Past
April 10, 1997 - February 6, 2003
NORTH RIDGE SECURITIES CORP.
BD
CRD#: 27098
MELVILLE, NY
Past
April 3, 1991 - April 9, 1997
JARON EQUITIES CORP.
BD
CRD#: 5764
HICKSVILLE, NY
Past
June 21, 1988 - June 19, 1992
GLOBAL CAPITAL SECURITIES, INC.
BD
CRD#: 13358
Past
June 6, 1988 - June 23, 1988
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
April 19, 1988 - May 24, 1988
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge 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
Alabama(10/7/2021)
RR
Florida(12/23/2024)
RR
New Jersey(10/7/2021)
RR
New York(10/7/2021)
IAR
New York(10/7/2021)
RR
Pennsylvania(10/13/2021)
RR
South Carolina(10/13/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
