Cassius L. 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.
Cassius L Williams Jr, who also goes by Cassius Leonard Williams Jr, Cl Williams, Cassius Williams, was a registered financial professional .
Cassius is a previously registered financial professional and started their career in finance in 1994. Cassius had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2021 - January 10, 2024
AMERITAS INVESTMENT COMPANY, LLC
November 23, 2020 - April 26, 2021
PRUCO SECURITIES, LLC.
November 5, 2018 - October 28, 2020
OSAIC FS, INC.
December 23, 2016 - November 9, 2018
NYLIFE SECURITIES LLC
April 3, 2013 - April 20, 2015
OSAIC FS, INC.
August 22, 2007 - April 11, 2013
NYLIFE SECURITIES LLC
September 24, 1999 - August 8, 2007
OSAIC FS, INC.
December 21, 1998 - September 10, 1999
METROPOLITAN LIFE INSURANCE COMPANY
December 21, 1998 - September 10, 1999
MSI FINANCIAL SERVICES, INC.
June 18, 1997 - October 6, 1998
PRUCO SECURITIES, LLC.
August 9, 1994 - October 31, 1997
NYLIFE SECURITIES LLC
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
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
