Jennifer L. 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.
Jennifer Leigh Wetta Williams, who also goes by Jennifer Leigh Wetta, Jennifer Leigh Williams, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1989. Jennifer had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2008 - December 31, 2019
NPB FINANCIAL GROUP, LLC
January 18, 2008 - December 31, 2019
NPB FINANCIAL GROUP, LLC
September 24, 2002 - January 22, 2008
INVESTMENT CENTERS OF AMERICA, INC.
June 26, 2001 - January 22, 2008
INVESTMENT CENTERS OF AMERICA, INC.
May 1, 1998 - May 24, 2001
WAMU INVESTMENTS, INC.
August 2, 1996 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 20, 1992 - July 25, 1996
ASB FINANCIAL SERVICES
March 24, 1992 - April 16, 1992
MARKETING ONE SECURITIES, INC.
April 18, 1990 - April 13, 1992
CAPITAL BROKERAGE CORPORATION
October 27, 1989 - April 26, 1990
JMC INVESTMENT SERVICES, 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
NPB FINANCIAL GROUP, LLC
CRD#: 137743 / SEC#: 801-65903, 8-67113
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NAKAGIRI REV LIVING TRUST | MEMBER | |
| PASH, MARK STEVEN | MEMBER - MANAGER | 869880 |
| BRAZIEL, JAMES AUDY | MEMBER | 2321699 |
| BRAZIEL, JAMES HUBERT | MEMBER - MANAGER | 29443 |
| CHAN, FRANK STEWART | VICE-PRESIDENT/CHIEF MARKETING OFFICER | 2549010 |
| CHING, GARY KOON CHEONG | VICE-PRESIDENT / CFO/ACTING CCO | 1631264 |
| CORIA, SHIRLEY JAMIL | VICE-PRESIDENT AND CHIEF OPERATING OFFICER/ACTING CCO | 1111255 |
| MCFARLAND, RICHARD BENN JR | TRUSTEE | 1080626 |
| WRIGHT FINANCIAL, LLC | MEMBER | |
| MCFARLAND 1980 FAMILY TRUST | MEMBER | |
| NAKAGIRI, MARIA AGNES | TRUSTEE | 5723640 |
Regulatory assets under management
| Total Number of Accounts | 1,698 |
| AUM (Assets Under Management) | $ 248,794,176 |
Disclosures
| Regulatory Event | 2 |
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.
