DW
David R. Williams
WMS ADVISORS
Charlotte, NC 28210
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CRD#: 2373815
DW
Professional summary
David Robert Williams, CFP®, who also goes by Dave Robert Williams, is a registered financial advisor currently at WMS ADVISORS, LLC located in Charlotte, North Carolina.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Robert 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.
DAVID R. WILLIAMS, AGENT POSITION: Owner NATURE: Insurance Sales (Investment-Related OBA) INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/1987 ADDRESS: 6669 Costa Circle, Naples FL 34113 DESCRIPTION: Life, long term care, and disability insurance sales service and Sell Equity Indexed Annuities. DAVID R. WILLIAMS, TRUSTEE - NEWCOMB TESTAMENTARY TRUST POSITION: Trustee NATURE: Investment-Related OBA not through H. Beck, Inc. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/23/2003 ADDRESS: 6669 Costa Circle, Naples FL 34113 DESCRIPTION: Trust operations, including recordkeeping and investment management. RENTAL PROPERTY - NAPLES SQUARE POSITION: Owner NATURE: Other OBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/29/2015 ADDRESS: 1030 3rd Ave South, Naples FL 34102 RENTAL PROPERTY - CENTRAL AVENUE POSITION: Owner NATURE: Other OBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/08/2020 ADDRESS: 1111 Central Avenue, Naples FL 34102, United States DESCRIPTION: Rental Property Management TWG - ADVISOR GRP, INC. POSITION: Owner NATURE: Other OBA INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 6669 Costa Circle, Naples FL 34113, United States DESCRIPTION: Holding and Operating Company for interest in WMS Advisors, LLC and Rep Production Group
CRS (Client Relationship Summary) - RIA
Click below to view David Robert Williams'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®
CFP®
Start date: 2005
Experience
Current
April 11, 2006 - Present
WMS ADVISORS, LLC
Office #1: 6135 Park South Drive Suite 510, Charlotte, NC 28210RIA
CRD#: 122224
Charlotte, NC
Past
April 1, 2021 - December 31, 2024
GROVE POINT ADVISORS, LLC
RIA
CRD#: 313171
North Bethesda, MD
Past
April 27, 2020 - April 1, 2021
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
North Bethesda, MD
Past
November 21, 2003 - December 31, 2024
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
North Bethesda, MD
Past
August 23, 2001 - December 9, 2003
IFG ADVISORY SERVICES INC
RIA
CRD#: 105316
POTOMAC, MD
Past
January 1, 1996 - December 9, 2003
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
November 3, 1993 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
BD
CRD#: 22710
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".
WA
WMS ADVISORS, LLC
PASCHALL AND ASSOCIATES | WMS ADVISORS, LLC | WILLIAMS, DAVID ROBERT | WILLIAMS ASSOCIATES CPA'S | WILLIAMS ASSOCIATES
CRD#: 122224 / SEC#: 801-109946
RIA
Registered Investment Advisory firm - (2/7/2017 Approved)Florida
Registered Investment Advisory firm - (3/1/2017 Terminated)Maryland
Registered Investment Advisory firm - (3/10/2017 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.Highlighted states indicate IAR registrations
IAR
Florida(6/28/2012)
IAR
Maryland(4/11/2006)
IAR
Texas(3/27/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
WA
WMS ADVISORS, LLC
PASCHALL AND ASSOCIATES | WMS ADVISORS, LLC | WILLIAMS, DAVID ROBERT | WILLIAMS ASSOCIATES CPA'S | WILLIAMS ASSOCIATES
CRD#: 122224 / SEC#: 801-109946
RIA
Registered Investment Advisory firm - (2/7/2017 Approved)Florida
Registered Investment Advisory firm - (3/1/2017 Terminated)Maryland
Registered Investment Advisory firm - (3/10/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6135 Park South Drive Suite 510, Charlotte, NC 28210
Mailing Address
Phone number
(301) 294-7804
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 372 |
| AUM (Assets Under Management) | $ 221,375,131 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
