RW
Richard L. Williams
STRATEGIC FINANCIAL PARTNERS, LTD
Washougal, WA
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CRD#: 2071231
RW
Professional summary
Richard Lewis Williams JR is a registered financial advisor currently at STRATEGIC FINANCIAL PARTNERS, LTD located in Washougal, Washington and LPL FINANCIAL LLC located in Washougal, Washington.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. 06/17/2004 - Non-Variable Insurance - INV REL - INSURANCE - At Reported Business Location(s) 2. 06/09/2004 - THE STRATEGIC ALLIANCE - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) 3. 10/14/2005 - THE STRATEGIC ALLIANCE, INC - Business Entity For Tax/Investment Purposes Only - President - Investment Related 4. 09/26/2009 - Strategic Financial Partners, LTD - INV REL - Registered Investment Advisor - 20% TIME SPENT - At Reported Business Location(s) 5. 04/30/2014 - KRJM, LLC - INV REL - Business Entity For Tax/Investment Purposes Only - 0% TIME SPENT 6. 12/26/2018 - Strategic Financial Partners, LTD - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 03/27/2009 - 20 Hours Per Month/ During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Richard Lewis Williams JR's 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®
NoneExperience
Current
April 14, 2009 - Present
STRATEGIC FINANCIAL PARTNERS, LTD
RIA
CRD#: 148858
Washougal, WA
Current
June 7, 2004 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
WASHOUGAL, WA
Past
June 7, 2004 - December 21, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
PORTLAND, OR
Past
May 7, 2003 - June 15, 2004
WS GRIFFITH SECURITIES, INC.
RIA
CRD#: 10410
PORTLAND, OR
Past
June 7, 1993 - June 15, 2004
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
February 8, 1991 - June 7, 1993
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SF
STRATEGIC FINANCIAL PARTNERS, LTD
STRATEGIC FINANCIAL PARTNERS, LTD
CRD#: 148858 / SEC#: 801-77447
RIA
Registered Investment Advisory firm - (12/10/2012 Approved)California
Registered Investment Advisory firm - (1/10/2013 Terminated)Oregon
Registered Investment Advisory firm - (12/21/2012 Terminated)Texas
Registered Investment Advisory firm - (11/30/2012 Terminated)Washington
Registered Investment Advisory firm - (3/22/2013 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alaska(9/17/2014)
RR
Arizona(9/15/2008)
RR
California(6/7/2004)
RR
Colorado(11/21/2011)
RR
Connecticut(9/1/2023)
RR
Florida(7/8/2015)
RR
Hawaii(9/15/2008)
RR
Idaho(10/6/2006)
RR
Illinois(1/18/2018)
RR
Indiana(6/7/2004)
RR
Iowa(4/4/2013)
RR
Maine(9/15/2008)
RR
Massachusetts(10/1/2015)
RR
Michigan(2/23/2021)
RR
Minnesota(6/10/2019)
RR
Missouri(9/13/2011)
RR
Nebraska(10/23/2014)
RR
New Jersey(8/14/2024)
RR
New Mexico(9/12/2013)
RR
North Carolina(7/18/2008)
RR
Ohio(8/20/2007)
RR
Oregon(6/7/2004)
IAR
Oregon(4/14/2009)
RR
South Carolina(7/15/2008)
RR
South Dakota(4/3/2019)
RR
Tennessee(5/4/2022)
RR
Texas(4/5/2017)
IAR
Texas(8/12/2022)
RR
Utah(5/30/2013)
RR
Vermont(6/10/2019)
RR
Virginia(10/14/2010)
RR
Washington(6/7/2004)
IAR
Washington(2/2/2023)
RR
West Virginia(6/10/2019)
RR
Wisconsin(6/3/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SF
STRATEGIC FINANCIAL PARTNERS, LTD
STRATEGIC FINANCIAL PARTNERS, LTD
CRD#: 148858 / SEC#: 801-77447
RIA
Registered Investment Advisory firm - (12/10/2012 Approved)California
Registered Investment Advisory firm - (1/10/2013 Terminated)Oregon
Registered Investment Advisory firm - (12/21/2012 Terminated)Texas
Registered Investment Advisory firm - (11/30/2012 Terminated)Washington
Registered Investment Advisory firm - (3/22/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Bend, OR
Mailing Address
5454 River Road North #20190, Keizer, OR 97307
Phone number
(503) 467-7832
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 900 |
| AUM (Assets Under Management) | $ 268,796,391 |
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.
