Neil W. 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.
Neil Wesley Williams, who also goes by Neil Williams, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1993. Neil had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 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
April 10, 2014 - March 23, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
January 16, 2012 - April 16, 2012
JEFFERIES LLC
November 17, 2010 - January 3, 2011
NORTHERN LIGHTS DISTRIBUTORS, LLC
June 16, 2009 - April 30, 2010
TRANSAMERICA CAPITAL, LLC
May 6, 2004 - January 26, 2009
WADDELL & REED
May 6, 2004 - January 26, 2009
IVY DISTRIBUTORS, INC.
October 12, 2001 - February 24, 2004
WELLS FARGO INVESTMENTS, LLC
August 21, 2001 - February 24, 2004
WELLS FARGO INVESTMENTS, LLC
April 18, 1997 - July 10, 2001
NUVEEN SECURITIES, LLC
August 19, 1996 - November 26, 1996
WELLS FARGO SECURITIES INC.
November 3, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
December 15, 1993 - November 6, 1995
AVANTAX INVESTMENT SERVICES, INC.
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
FIRST COMMAND BROKERAGE SERVICES, INC.
CRD#: 3641 / SEC#: , 8-7072
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMAND FINANCIAL SERVICES, INC. | STOCKHOLDER/OWNER | |
| CADDELL, TINA KATHERINE | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 3041675 |
| CERBONE, HEIDI ELIZABETH | VICE PRESIDENT AND TREASURER | 5734664 |
| CHARTAN, ERIC | SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER | 4809520 |
| GRIFFIN, CASEY JAMES | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 3124214 |
| HUBKA, MEEGHAN LYNNE | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP) | 5859322 |
| RICHTER, KELLEEN MARIE | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 2098017 |
| SMITH, FRANK DEAN | SENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER | 6005160 |
| STEFFE, MARK DUANE | PRESIDENT/CEO | 2204689 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
