Norman O. 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.
Norman Orelle Williams, who also goes by Norman Orelle Williams III, Norman Orelle III Williams, Norman Orelle Ted Williams Iii, Ted Williams Iii, Ted Williams, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1994. Norman had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2016 - November 6, 2018
FARMERS FINANCIAL SOLUTIONS, LLC
July 23, 2012 - February 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
July 3, 2012 - February 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2006 - September 5, 2006
MSI FINANCIAL SERVICES, INC.
April 28, 2006 - September 5, 2006
METROPOLITAN LIFE INSURANCE COMPANY
April 28, 2006 - September 5, 2006
MSI FINANCIAL SERVICES, INC.
August 25, 2005 - August 30, 2005
RESOURCE HORIZONS GROUP LLC
August 19, 2005 - August 30, 2005
RESOURCE HORIZONS GROUP LLC
July 7, 2005 - April 27, 2006
SILVER OAK SECURITIES, INCORPORATED
May 6, 2004 - October 1, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 6, 2004 - October 1, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 1994 - January 7, 2004
NATIONWIDE SECURITIES, LLC
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
FARMERS FINANCIAL SOLUTIONS, LLC
CRD#: 103863 / SEC#: 801-108217, 8-52361
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FFS HOLDING, LLC | MANAGING MEMBER | |
| BORKIN, JOSHUA ALAN | CHIEF FINANCIAL OFFICER | 6536355 |
| DAHM, CHRISTINE | BOARD MEMBER | 8191792 |
| DO, CHAU | SECRETARY | 7865522 |
| HANSON, GUY MEADE | BOARD MEMBER | 7165729 |
| HOHL, DOREN EUGENE | BAORD MEMBER | 1953425 |
| ROBINSON, TARETHA ANN | CHIEF COMPLIANCE OFFICER | 4539081 |
| ROBINSON, TARETHA ANN | DIRECTOR OF OPERATIONS | 4539081 |
| SCHEAR, ZACHARY | PRESIDENT | 5958762 |
| SCOTT, JANICE GALE | BOARD MEMBER | 7909854 |
| WILLOUGHBY, DENITA ANNETTE | BOARD MEMBER | 2368099 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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