JW
John D. Williamson
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
Steilacoom, WA
Some features on this profile are disabled
CRD#: 2357023
JW
Professional summary
John Deforrest Williamson is a registered financial advisor currently at ALEXANDER CAPITAL WEALTH MANAGEMENT LLC located in Steilacoom, Washington and PENNY LANE WEALTH MANAGEMENT, LLC located in Tacoma, Washington.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. John has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 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. PORTFOLIO STRATEGIES, INC. 50% Passive Owner. 2. Williamson Investments March 2018, Entity to pay bills, do business consulting, spend 20% pf my time here. 3. Alexander Capital LP Insurance Agency 17 State Street, New York, NY 10004 Investment related - Insurance Agency, position held is sales. Devote approximately 20 hours a week during market hours. 4. I sit on the Board of Directors of a non-profit called One Accord Human Services Group that helps people with a criminal background find gainful employment through job training, placements, etc. I do not receive any compensation and devote 5% of my time. There are no conflicts of interest. 5. Penny Lane Wealth Management; Investment related; 1804 W Union Ave Tacoma, WA 98405; IAR; Investment Advisor; 08/03/2022; 10hrs; IA 6.STEWARDSHIP FACILITY SOLUTION (NON-PROFIT) DIRECTOR- 1HR PER WEEK NON INVESTMENT RELATED NO COMPENSATION RECEIVED
CRS (Client Relationship Summary) - RIA
Click below to view John Deforrest Williamson's 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®
NoneExperience
Current
September 18, 2017 - Present
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
RIA
CRD#: 157714
Steilacoom, WA
Current
March 23, 2023 - Present
PENNY LANE WEALTH MANAGEMENT, LLC
Office #1: 1804 W. Union Ave., Suite 202, Tacoma, WA 98405RIA
CRD#: 318918
Tacoma, WA
Current
December 6, 2016 - Present
ALEXANDER CAPITAL, L.P.
Office #1: 10 Drs James Parker Blvd Suite 202, Red Bank, NJ 07701BD
CRD#: 40077
Red Bank, NJ
Past
April 17, 2009 - June 28, 2011
TAHOMA INVESTMENT ADVISORS, LLC
RIA
CRD#: 149455
TACOMA, WA
Past
March 21, 2006 - May 15, 2008
FOCUS INVESTMENTS NW, INC.
RIA
CRD#: 139866
TACOMA, WA
Past
December 19, 2001 - January 18, 2023
PORTFOLIO STRATEGIES INC
RIA
CRD#: 104685
TACOMA, WA
Past
May 16, 2001 - December 31, 2016
EDI FINANCIAL, INC.
BD
CRD#: 15699
TACOMA, WA
Past
March 1, 2000 - February 23, 2001
CREATIVE CAPITAL MANAGEMENT CORPORATION
BD
CRD#: 11145
CLEVELAND, OH
Past
November 22, 1995 - March 2, 2000
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
September 1, 1993 - November 24, 1995
EDWARD JONES
BD
CRD#: 250
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".
AC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | LCORE WEALTH MANAGEMENT LLC | ARTHUR MORRIS LIFFESTYLE WEALTH MANAGEMENT | ALEXANDER CAPITAL, L.P.
CRD#: 157714 / SEC#: 801-112997
RIA
Registered Investment Advisory firm - (4/30/2018 Approved)Arkansas
Registered Investment Advisory firm - (5/15/2018 Terminated)New Jersey
Registered Investment Advisory firm - (6/20/2018 Terminated)New York
Registered Investment Advisory firm - (5/15/2018 Terminated)Texas
Registered Investment Advisory firm - (5/15/2018 Terminated)Washington
Registered Investment Advisory firm - (5/22/2018 Terminated)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.RR
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
RR
Alaska(1/5/2017)
RR
Arizona(1/1/2017)
RR
California(1/5/2017)
RR
Florida(1/5/2017)
RR
Georgia(1/5/2017)
RR
Hawaii(11/5/2019)
RR
Idaho(4/24/2024)
RR
Kansas(5/9/2019)
RR
Kentucky(6/1/2017)
RR
Louisiana(1/5/2017)
RR
Massachusetts(1/5/2017)
RR
Nevada(1/5/2017)
RR
New Jersey(1/5/2017)
RR
New Mexico(1/5/2017)
RR
New York(10/23/2018)
RR
Ohio(1/5/2017)
RR
Oklahoma(1/5/2017)
RR
Oregon(1/1/2017)
RR
Pennsylvania(1/5/2017)
RR
Tennessee(1/30/2019)
RR
Texas(1/5/2017)
IAR
Texas(8/30/2021)
RR
Virginia(1/5/2017)
RR
Washington(12/7/2016)
IAR
Washington(9/18/2017)
RR
Wyoming(1/5/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | LCORE WEALTH MANAGEMENT LLC | ARTHUR MORRIS LIFFESTYLE WEALTH MANAGEMENT | ALEXANDER CAPITAL, L.P.
CRD#: 157714 / SEC#: 801-112997
RIA
Registered Investment Advisory firm - (4/30/2018 Approved)Arkansas
Registered Investment Advisory firm - (5/15/2018 Terminated)New Jersey
Registered Investment Advisory firm - (6/20/2018 Terminated)New York
Registered Investment Advisory firm - (5/15/2018 Terminated)Texas
Registered Investment Advisory firm - (5/15/2018 Terminated)Washington
Registered Investment Advisory firm - (5/22/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10 Drs. James Parker Blvd Suite 202, Red Bank, NJ 07701
Mailing Address
Phone number
(212) 687-5650
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 999 |
| AUM (Assets Under Management) | $ 212,106,766 |
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.
