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MW

Matthew T. Williams

Some features on this profile are disabled
CRD#: 2136203
MW

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.

Matthew Thomas Williams was a registered financial advisor .

Matthew is a previously registered financial advisor and started their career in finance in 1992. Matthew had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 11, 2015 - December 28, 2015

FOREST SECURITIES,INC.

BD
CRD#: 16255
HILLSIDE, IL
Past

June 15, 2011 - March 5, 2013

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHICAGO, IL
Past

June 1, 2009 - June 27, 2011

MORGAN STANLEY

RIA
CRD#: 149777
CHICAGO, IL
Past

June 1, 2009 - June 27, 2011

MORGAN STANLEY

BD
CRD#: 149777
CHICAGO, IL
Past

October 23, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CHICAGO, IL
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CHICAGO, IL
Past

March 3, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
CHICAGO, IL
Past

June 7, 2000 - March 3, 2003

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

November 18, 1998 - September 24, 1999

BANC ONE CAPITAL MARKETS, INC.

BD
CRD#: 23065
CHICAGO, IL
Past

July 17, 1992 - July 5, 1994

KEMPER FINANCIAL SERVICES, INC.

BD
CRD#: 798

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/19/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/24/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/28/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/25/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/15/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FS
FOREST SECURITIES,INC.
FOREST SECURITIES,INC.

CRD#: 16255 / SEC#: , 8-33568

BD
Cancelled by SEC on 03/16/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 06/16/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NATIVE TRIBAL ALLIANCE, LLCSOLE SHAREHOLDER
DUNNE, MICHAEL FITZGERALDPRESIDENT/COO/FINOP/CCO1676474

Disclosures

Regulatory Event3
Arbitration2

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.

Company Information

FOREST SECURITIES,INC.

CRD#: 16255

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