Chad J. Williams
Professional summary
Chad Justin Wayne Williams, who also goes by Chad J. W. Williams, is a registered financial professional currently at DFA SECURITIES LLC located in Charlotte, North Carolina.
Chad is registered as a RR (Registered Representative) and started their career in finance in 1999. Chad has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Chad Justin Wayne Williams's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 24, 2019 - Present
DFA SECURITIES LLC
Office #1: 1515 South Tryon Street, Charlotte, NC 28203January 30, 2014 - August 15, 2019
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
October 7, 2009 - August 15, 2019
ALPS DISTRIBUTORS, INC.
May 26, 2009 - October 1, 2009
CAPWEST SECURITIES, INC.
June 23, 2006 - September 26, 2008
EMPOWER FINANCIAL SERVICES, INC.
January 23, 2004 - February 7, 2006
EMPOWER FINANCIAL SERVICES, INC.
October 8, 1999 - December 31, 2003
INVESCO DISTRIBUTORS, 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
(9/24/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
DFA SECURITIES LLC
CRD#: 10292 / SEC#: , 8-27006
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIMENSIONAL FUND ADVISORS LP | DELAWARE LP AND SOLE MEMBER OF DFAS | |
| BOOTH, DAVID GILBERT | CHAIRMAN | 1031000 |
| BUTLER, DAVID PAUL | CO-CHIEF EXECUTIVE OFFICER | 2305298 |
| DALLMER, LISA MICHELE | CHIEF OPERATING OFFICER | 2586913 |
| GRZELAK, BERNARD JAMES | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL, AND PRINCIPAL OPERATING OFFICER | 4285750 |
| NEWELL, CATHERINE LEE | VICE PRESIDENT AND SECRETARY | 2890628 |
| NOTELOVITZ, SELWYN JUSTIN | GLOBAL CHIEF COMPLIANCE OFFICER | 2886676 |
| O'REILLY, GERARD KIERAN | CO-CHIEF EXECUTIVE OFFICER AND CO-CIO | 4982644 |
Red Flags
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