James P. 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.
James P. Williams, who also goes by James Paul Williams II, James Paul Williams, Jay Williams Ii, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2013 - May 5, 2026
J.P. MORGAN SECURITIES LLC
December 9, 2013 - May 5, 2026
J.P. MORGAN SECURITIES LLC
October 15, 2010 - November 25, 2013
LPL FINANCIAL LLC
October 4, 2010 - November 25, 2013
LPL FINANCIAL LLC
January 21, 2010 - October 4, 2010
FIRSTMERIT ADVISORS, INC.
January 14, 2010 - October 4, 2010
FIRSTMERIT FINANCIAL SERVICES, INC
June 25, 2008 - January 22, 2010
INVEST FINANCIAL CORPORATION
June 20, 2008 - January 14, 2010
INVEST FINANCIAL CORPORATION
April 4, 2006 - June 16, 2008
THE HUNTINGTON INVESTMENT COMPANY
July 2, 2002 - June 16, 2008
THE HUNTINGTON INVESTMENT COMPANY
December 6, 2001 - June 3, 2002
BANC ONE SECURITIES CORPORATION
September 10, 1998 - June 3, 2002
BANC ONE SECURITIES CORPORATION
August 18, 1998 - September 11, 1998
NATCITY INVESTMENTS, INC.
April 24, 1995 - August 19, 1998
BANC ONE SECURITIES CORPORATION
September 2, 1994 - April 7, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
April 26, 1993 - August 30, 1994
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 393 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
