Stephen T. Williams

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CRD#: 1730205

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.

Stephen Taylor Williams, who also goes by Stephen T Williams, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen T 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

June 5, 2013 - February 21, 2014

EVANS WEALTH MANAGEMENT

RIA

CRD#: 164320

GALLIPOLIS, OH

Past

February 5, 2007 - January 17, 2012

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

HUNTINGTON, WV

Past

December 1, 2005 - July 26, 2006

CITIZENS SECURITIES, INC.

CRD#: 39550

DEERFIELD, IL

Past

April 28, 2005 - December 1, 2005

CHARTER ONE SECURITIES, INC.

CRD#: 13373

DEERFIELD, IL

Past

November 18, 2003 - October 29, 2004

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

February 1, 2001 - December 1, 2003

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

COLUMBUS, OH

Past

January 28, 2000 - December 31, 2000

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

September 24, 1993 - July 1, 1998

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

December 4, 1992 - March 23, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 13, 1992 - January 25, 1993

RRZ PUBLIC MARKETS, INC.

CRD#: 8171

PITTSBURGH, PA

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".

EVANS WEALTH MANAGEMENT

EVANS WEALTH MANAGEMENT | STAN EVANS WEALTH MANAGEMENT, LLC DBA EVANS WEALTH MANAGEMENT | STAN EVANS FINANCIAL PLANNING, LLC

CRD#: 164320 / SEC#: 801-127743

RIA

Registered Investment Advisory firm - (6/29/2023 Approved)

Massachusetts

Registered Investment Advisory firm - (12/31/2013 Terminated)

Ohio

Registered Investment Advisory firm - (7/27/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/3/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 11/24/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/9/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/31/2004

General Securities Principal Examination

Current Firm

EVANS WEALTH MANAGEMENT

EVANS WEALTH MANAGEMENT | STAN EVANS WEALTH MANAGEMENT, LLC DBA EVANS WEALTH MANAGEMENT | STAN EVANS FINANCIAL PLANNING, LLC

CRD#: 164320 / SEC#: 801-127743

RIA

Registered Investment Advisory firm - (6/29/2023 Approved)

Massachusetts

Registered Investment Advisory firm - (12/31/2013 Terminated)

Ohio

Registered Investment Advisory firm - (7/27/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/3/2012 Terminated)

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Contact information

Main Address

300 Second Avenue Suite D, Gallipolis, OH 45631

Mailing Address

Phone number

(740) 446-4200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STAN EVANS (2/12/2024)

ADV PART 2A 2024 (2/12/2024)

ADV PART 1A (2/12/2024)

Regulatory assets under management

Total Number of Accounts	665
AUM (Assets Under Management)	$ 122,000,000

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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Advisor Monitoring

Firm Stability Insights

Stephen T. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE HUNTINGTON INVESTMENT COMPANY

CITIZENS SECURITIES, INC.

CHARTER ONE SECURITIES, INC.

BANC ONE SECURITIES CORPORATION

JPMORGAN DISTRIBUTION SERVICES, INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

LEHMAN BROTHERS INC.

RRZ PUBLIC MARKETS, INC.

Primary Firm SEC Registration

EVANS WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 11/24/1992

Series 7

Date: 10/9/1992

Series 24

Date: 3/31/2004

Current Firm

EVANS WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EVANS WEALTH MANAGEMENT

TRUST BUT VERIFY

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