Ulysses 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.
Ulysses Sigmund Williams JR, who also goes by Grant Williams Jr, U. S. Williams, was a registered financial professional .
Ulysses is a previously registered financial professional and started their career in finance in 1989. Ulysses had worked at 3 firms and has passed the Series 63, SIE, Series 50 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
August 12, 2024 - May 20, 2026
TRB CAPITAL MARKETS, LLC
June 29, 1992 - September 30, 2024
ESTRADA HINOJOSA & COMPANY, INC.
March 22, 1989 - January 3, 1992
FIRST SOUTHWEST COMPANY, LLC
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
TRB CAPITAL MARKETS, LLC
CRD#: 322618 / SEC#: , 8-70999
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEXAS REGIONAL BANK | OWNER | |
| COULTER, ROBERT VINCENT | CHIEF COMPLIANCE OFFICER/MUNICIPAL SECURITIES PRINCIPAL | 4211707 |
| HEBERT, MICHAEL JAMES | COMPLIANCE OFFICER/VP/SROP | 1229298 |
| HINOJOSA, NOE JR | PRESIDENT - MUNICIPAL BANKING | 1782212 |
| JOHNSON, KRISTY KAY | FINOP | 4470948 |
| TIPPIT, JOHN LEE IV | CEO/PRESIDENT OF CAPITAL MARKETS | 5809446 |
Red Flags
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