Steven S. Williams
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.
Steven Scott Williams, who also goes by Steve Williams, was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1988. Steven had worked at 9 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2007 - September 10, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - September 10, 2007
MORGAN STANLEY & CO. LLC
June 2, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
June 2, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
July 1, 2003 - June 8, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - June 8, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 25, 1995 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 25, 1995 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 20, 1993 - April 21, 1995
J.P. MORGAN SECURITIES LLC
August 28, 1992 - September 11, 1993
UBS FINANCIAL SERVICES INC.
April 7, 1992 - September 9, 1992
J.P. MORGAN SECURITIES LLC
March 15, 1990 - August 27, 1990
FIDELITY BROKERAGE SERVICES LLC
January 13, 1989 - July 3, 1989
LEHMAN BROTHERS INC.
June 22, 1988 - January 17, 1989
HILLTOP SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
