Louis A. 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.
Louis Alberto Williams JR, who also goes by Louis Alberto (jr) Williams, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1991. Louis had worked at 4 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1995 - July 24, 1998
BA INVESTMENT SERVICES, INC.
December 8, 1992 - April 27, 1995
WELLS FARGO CLEARING SERVICES, LLC
April 6, 1992 - January 1, 1993
MORGAN STANLEY DW INC.
July 29, 1991 - December 23, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
BA INVESTMENT SERVICES, INC.
CRD#: 12965 / SEC#: , 8-28502
Contact information
Documents
Red Flags
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