Joseph C. Williams

CAPITAL MANAGEMENT LLC

Greensboro, NC 27408

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CRD#: 2332156

Professional summary

Joseph Christian Williams, who also goes by Christian Williams, Joseph C Williams, is a registered financial advisor currently at CAPITAL MANAGEMENT LLC located in Greensboro, North Carolina.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Joseph has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christian Williams | Joseph C Williams

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.

I am currently registered with Keel Point. I help them with recruiting/business development. In addition I have my own consulting firm focused on coaching as well as recruiting advisors for financial advisory firms.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Christian Williams's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 15, 2023 - Present

CAPITAL MANAGEMENT LLC

Office #1: 628 Green Valley Road Suite 204, Greensboro, NC 27408

RIA

CRD#: 109416

Greensboro, NC

Past

December 9, 2021 - June 2, 2023

KEEL POINT, LLC

RIA

CRD#: 127902

Wake Forest, NC

Past

July 6, 2021 - June 2, 2023

KEEL POINT CAPITAL, LLC

CRD#: 6769

Wake Forest, NC

Past

January 2, 2009 - June 19, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SAINT PETERSBURG, FL

Past

May 30, 2007 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

ST PETERSBURG, FL

Past

May 24, 2007 - June 19, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST PETERSBURG, FL

Past

April 1, 2003 - May 25, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

RALEIGH, NC

Past

April 1, 2003 - May 25, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

RALEIGH, NC

Past

February 23, 1998 - April 3, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SPTBG., SC

Past

May 6, 1993 - April 3, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL MANAGEMENT LLC

CAPITAL MANAGEMENT INC | CAPITAL MANAGEMENT LLC

CRD#: 109416 / SEC#: 801-55753

RIA

Registered Investment Advisory firm - (7/24/1998 Approved)

North Carolina

Registered Investment Advisory firm - (7/12/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(6/15/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/8/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/28/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/30/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/5/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/25/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/25/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

CAPITAL MANAGEMENT LLC

CAPITAL MANAGEMENT INC | CAPITAL MANAGEMENT LLC

CRD#: 109416 / SEC#: 801-55753

RIA

Registered Investment Advisory firm - (7/24/1998 Approved)

North Carolina

Registered Investment Advisory firm - (7/12/2007 Terminated)

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Contact information

Main Address

628 Green Valley Road Suite 204, Greensboro, NC 27408

Mailing Address

Phone number

(336) 856-2911

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL MANAGEMENT_PART 2 A BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	514
AUM (Assets Under Management)	$ 341,919,260

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.

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Advisor Monitoring

Firm Stability Insights

Joseph C. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Christian Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEEL POINT, LLC

KEEL POINT CAPITAL, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/2021

Series 63

Date: 5/28/1993

SIE

Date: 10/1/2018

Series 3

Date: 12/30/2004

Series 7

Date: 5/5/1993

Series 10

Date: 2/25/2000

Series 9

Date: 2/25/2000

Current Firm

CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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