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KW

Kevin A. Williams

Some features on this profile are disabled
CRD#: 2159172
KW

Professional summary

Kevin Antony Williams was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kevin is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Kevin had worked at 11 firms, which includes NORTH GLOBAL SECURITIES INC., NORTH WEALTH MANAGEMENT COMPANY LLC, ASSET MANAGEMENT STRATEGIES L.L.C., INVESTORS CAPITAL CORP., HIMCO DISTRIBUTION SERVICES COMPANY, MISSIONSQUARE WEALTH MANAGEMENT, NICHOLAS-APPLEGATE SECURITIES LLC, FIRST AFFILIATED SECURITIES, LPL FINANCIAL LLC, M.C. FINANCIAL CORPORATION, SENTRA SECURITIES CORPORATION.

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

March 24, 2008 - August 3, 2010

NORTH GLOBAL SECURITIES, INC.

BD
CRD#: 132918
NEWPORT BEACH, CA
Past

November 9, 2007 - December 31, 2011

NORTH WEALTH MANAGEMENT COMPANY, LLC

RIA
CRD#: 145434
RIVERSIDE, CA
Past

September 5, 2006 - June 7, 2011

ASSET MANAGEMENT STRATEGIES, L.L.C.

RIA
CRD#: 124617
LA JOLLA, CA
Past

March 3, 2006 - August 7, 2006

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
ANAHEIM HILLS, CA
Past

June 5, 2000 - August 7, 2006

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA
Past

November 21, 1997 - July 17, 1999

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

August 26, 1995 - September 11, 1997

MISSIONSQUARE WEALTH MANAGEMENT

BD
CRD#: 23189
WASHINGTON, DC
Past

January 4, 1995 - July 28, 1995

NICHOLAS-APPLEGATE SECURITIES LLC

BD
CRD#: 31205
SAN DIEGO, CA
Past

May 3, 1994 - November 4, 1994

FIRST AFFILIATED SECURITIES

BD
CRD#: 23737
LA JOLLA, CA
Past

April 11, 1994 - April 14, 1994

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

December 4, 1991 - April 4, 1992

M.C. FINANCIAL CORPORATION

BD
CRD#: 26076
LA JOLLA, CA
Past

August 14, 1991 - November 12, 1991

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ

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: 1/30/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/30/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/12/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/5/2005
General Securities Principal Examination

Current Firm

NG
NORTH GLOBAL SECURITIES, INC.
CNP SECURITIES, INC. | NORTH GLOBAL SECURITIES, INC.

CRD#: 132918 / SEC#: , 8-66663

BD
Terminated by SEC on 08/24/2010
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/10/2004
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LAND ENTITLEMENT AND OPPORTUNITIES FUND, LLCOWNER
SALTER, JO ANNFINOP1504777
WILLIAMS, KEVIN ANTONYPRESIDENT, CCO, AMLCO2159172

Disclosures

Arbitration1

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

NORTH GLOBAL SECURITIES, INC.

CRD#: 132918

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