Lavon A. Williams

OSAIC WEALTH

Poteau, OK 74953

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CRD#: 2338242

Professional summary

Lavon Aaron Williams is a registered financial advisor currently at OSAIC WEALTH, INC. located in Poteau, Oklahoma.

Lavon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Lavon has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. MAPLE CREEK VENTURES LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2009 ADDRESS: 210 Peters St Ste A Poteau OK 74953 DESCRIPTION: Collect rent, pay bills, maintain the facility, and clean 2. MAPLE CREEK BERRY FARM 2402 REDWOOD LANE,OWNER,11/22/2003,BLUEBERRY AND BLACKBERRY FARM. U-PICK,80,0. 3. INSURANCE SALES, YES, ADDRESS: 210 Peters St Ste A Poteau OK 74953 OWNER, 3/1997,FIXED INSURANCE SALES ANNUITIES FIXED LIFE INSURANCE, 10,10. 4. ASSET & INVESTMENT ADVISORS, INC, YES, 210 PETERS STREET, STE A, CORPORATE RIA, JAN-2013, 80HRS/MONTH, 80HRS DT, INVESTMENT ADVISE FOR FEE, RISK ASSESSMENT, PORTFOLIO CONSTRUCTION, PROGRESS REVIEW WITH CLIENT. 5. OWENS AGENCY LLC POSITION: Partner 50% NATURE: Insurance Agency, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/30/2015 ADDRESS: 1197 2nd St, Waldron AR 72958 DESCRIPTION: Solicit insurance for property, casualty and commercial. 6. ASSET & CAPITAL ADVISORS POSITION: President NATURE: Operating business for Asset & Investment Advisors.Not held out to clients or prospects. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 03/01/1997 ADDRESS: 210 Peters St Ste A Poteau OK 74953 DESCRIPTION: Pay employees, pay bills, deposit income. 7. LEFLORE COUNTY DE VELOPMENT AUTHORITY POSITION: Non-Profit/Board of Directors NATURE: Non-Profit INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 4/2000 ADDRESS: 201 S Broadway, Poteau, OK 74953 DESCRIPTION: Review business prospects seeking economic assistance in relocating or expanding existing operations in the county. 8. CARL ALBERT STATE COLLEGE BOARD OF REGENTS POSITION: Board Member - NATURE: Non-Profit - INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 5 START DATE: 06/01/2011 ADDRESS: 1507 S McKenna Poteau, OK 74953, Poteau OK 74953, United States DESCRIPTION: Oversee administration, Employment of Adminstration and staff. monitor finances, exapansion plans, adcedeminc programs, develop policies. 9. ASSET & INVESTMENT ADVISORS, INC POSITION: Owner - NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/01/1993 ADDRESS: 210 Peters St. Ste A, Poteau, OK 74953, Poteau OK 74953, United States DESCRIPTION: Provide fixed annuites or life insurance or term insurance to clients. Assess needs, determine adequacy, submit applications and deliver policy. 10. LEFLORE COUNTY DEVELPEMENT AUTHORITY POSITION: Board Member - NATURE: Non-Profit - INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/1993 ADDRESS: 201 S Broadway Poteau, OK 74953, Poteau OK 74953, United States DESCRIPTION: Review business prospects seeking economic assitance in relocating or expanding existing operations in the county. 11. ASSET & INVESTMENT ADVISORS POSITION: Owner NATURE: Sole Proprietorship dba INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/15/2008 ADDRESS: 210 Peters St. Ste A, Poteau OK 74953, United States DESCRIPTION: Notarized forms for client transfers, mostly on death of client or transfer of shares to others

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lavon Aaron Williams's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Lavon Aaron 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

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 210 Peters Street Suite A, Poteau, OK 74953Office #2: 1400 Preston Road Suite 400, Plano, TX 75093

RIA

CRD#: 23131

Poteau, OK

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 210 Peters Street Suite A, Poteau, OK 74953Office #2: 1400 Preston Road Suite 400, Plano, TX 75093

RIA

CRD#: 23131

Poteau, OK

Past

October 10, 2012 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

POTEAU, OK

Past

October 31, 2005 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

POTEAU, OK

Past

May 18, 2001 - December 31, 2012

ASSET & INVESTMENT ADVISORS, INC.

RIA

CRD#: 115776

POTEAU, OK

Past

March 11, 1997 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

June 1, 1995 - March 11, 1997

GEARY SECURITIES, INC.

CRD#: 38182

OKLAHOMA CITY, OK

Past

April 13, 1993 - June 1, 1995

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(9/1/2023)

Arkansas
(9/1/2023)

IAR

Arkansas
(9/1/2023)

California
(9/1/2023)

IAR

California
(9/1/2023)

Colorado
(9/1/2023)

District of Columbia
(9/1/2023)

Florida
(9/1/2023)

Georgia
(9/1/2023)

Illinois
(9/1/2023)

Kansas
(9/1/2023)

Louisiana
(9/1/2023)

Maryland
(9/1/2023)

Massachusetts
(9/1/2023)

Michigan
(9/1/2023)

Minnesota
(9/1/2023)

Mississippi
(9/1/2023)

Missouri
(9/1/2023)

Nevada
(9/1/2023)

New Mexico
(9/1/2023)

Ohio
(9/1/2023)

Oklahoma
(9/1/2023)

IAR

Oklahoma
(9/1/2023)

Oregon
(9/1/2023)

Pennsylvania
(9/1/2023)

Tennessee
(9/1/2023)

Texas
(9/1/2023)

IAR

Texas
(9/1/2023)

Utah
(9/1/2023)

Virginia
(9/1/2023)

IAR

Virginia
(9/1/2023)

Washington
(9/1/2023)

IAR

Washington
(9/1/2023)

Wisconsin
(9/1/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/12/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/12/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/15/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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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Lavon A. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lavon Aaron Williams's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Lavon Aaron Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

ASSET & INVESTMENT ADVISORS, INC.

SUNAMERICA SECURITIES, INC.

GEARY SECURITIES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/12/1995

Series 63

Date: 4/26/1993

SIE

Date: 10/1/2018

Series 7

Date: 4/12/1993

Series 51

Date: 3/15/2006

Series 24

Date: 5/6/1997

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

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