Fred 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.
Fred Andrew Williams, who also goes by Frederick Andrew Williams, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1992. Fred had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2006 - November 8, 2013
TD AMERITRADE, INC.
October 14, 2005 - April 22, 2006
TD AMERITRADE CLEARING, INC.
December 8, 1994 - October 30, 1995
PFS INVESTMENTS INC.
July 2, 1992 - January 6, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 2, 1992 - January 6, 1993
PRUCO 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
