Michael G. 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.
Michael Gerard Williams, who also goes by Mike Williams, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2018 - December 31, 2022
PEOPLE'S UNITED ADVISORS, INC.
July 14, 2008 - November 20, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
August 17, 2005 - March 15, 2007
PFIC SECURITIES CORPORATION
May 22, 2001 - August 17, 2005
FISERV INVESTOR SERVICES, INC.
January 5, 2000 - June 27, 2000
UVEST FINANCIAL SERVICES GROUP, INC.
October 21, 1998 - December 31, 1999
T.H.E. FINANCIAL GROUP, LTD
February 5, 1996 - March 27, 1997
HOPPER SOLIDAY & CO., INC.
April 14, 1994 - January 15, 1996
FIRST UNION CAPITAL MARKETS CORP.
October 8, 1993 - April 7, 1994
RAYMOND JAMES FINANCIAL 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
PEOPLE'S UNITED ADVISORS, INC.
CRD#: 292454 / SEC#: 801-112648
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,076 |
| AUM (Assets Under Management) | $ 845,211,011 |
Red Flags
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