Carlos R. 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.
Carlos Randall Williams was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1989. Carlos had worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2010 - May 23, 2013
FISHER INVESTMENTS
July 13, 2010 - October 22, 2010
B. C. ZIEGLER AND COMPANY
December 23, 2008 - October 22, 2010
B. C. ZIEGLER AND COMPANY
October 20, 2006 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 2006 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2006 - October 10, 2006
UBS FINANCIAL SERVICES INC.
February 2, 2006 - October 10, 2006
UBS FINANCIAL SERVICES INC.
April 10, 1997 - October 9, 2003
CHARLES SCHWAB & CO., INC.
October 8, 1990 - October 9, 2003
CHARLES SCHWAB & CO., INC.
May 5, 1989 - December 15, 1989
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
Series 8
Date: 5/11/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
