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UW

Ulysses S. Williams

TRB CAPITAL MARKETS
HOUSTON, TX 77002
Some features on this profile are disabled
CRD#: 1838062
UW

Professional summary

Ulysses Sigmund Williams JR, who also goes by Grant Williams Jr, U. S. Williams, is a registered financial professional currently at TRB CAPITAL MARKETS, LLC located in Houston, Texas.

Ulysses is registered as a RR (Registered Representative) and started their career in finance in 1989. Ulysses has worked at 3 firms and has passed the Series 63, SIE, Series 50 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Grant Williams Jr | U. S. 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) - BD

Click below to view Ulysses Sigmund Williams JR's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 12, 2024 - Present

TRB CAPITAL MARKETS, LLC

Office #1: 801 Travis Suite 1400, Houston, TX 77002
BD
CRD#: 322618
HOUSTON, TX
Past

June 29, 1992 - September 30, 2024

ESTRADA HINOJOSA & COMPANY, INC.

BD
CRD#: 19299
HOUSTON, TX
Past

March 22, 1989 - January 3, 1992

FIRST SOUTHWEST COMPANY, LLC

BD
CRD#: 316
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Texas
(8/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/23/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 8/1/2017
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 3/18/1989
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRB CAPITAL MARKETS, LLC
ESTRADA HINOJOSA | TRB CAPITAL MARKETS, LLC

CRD#: 322618 / SEC#: , 8-70999

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
6770 West Expressway 83, Harlingen, TX 78552
Mailing Address
6770 West Expressway 83, Harlingen, TX 78552
Phone number
(956) 682-2265
Established
Texas since 08/19/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEXAS REGIONAL BANKOWNER
COULTER, ROBERT VINCENTCHIEF COMPLIANCE OFFICER/MUNICIPAL SECURITIES PRINCIPAL4211707
HEBERT, MICHAEL JAMESCOMPLIANCE OFFICER/VP/SROP1229298
HINOJOSA, NOE JRPRESIDENT - MUNICIPAL BANKING1782212
JOHNSON, KRISTY KAYFINOP4470948
TIPPIT, JOHN LEE IVCEO/PRESIDENT OF CAPITAL MARKETS5809446

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.

Company Information

TRB CAPITAL MARKETS, LLC

CRD#: 322618Houston, TX 77002

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