John D. 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.
John Drummond Williams JR, who also goes by Jd Williams, John Drummond Williams, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1993. John had worked at 6 firms and has passed the Series 65, Series 63, 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
March 27, 2003 - April 7, 2006
GIRARD SECURITIES, INC.
March 10, 2003 - April 7, 2006
GIRARD SECURITIES, INC.
October 22, 2002 - March 15, 2003
LPL FINANCIAL LLC
October 22, 2002 - March 15, 2003
LPL FINANCIAL LLC
November 16, 1999 - November 18, 2002
SENTRA SECURITIES CORPORATION
October 14, 1999 - November 18, 2002
SENTRA SECURITIES CORPORATION
May 28, 1997 - November 8, 1999
LPL FINANCIAL LLC
January 20, 1996 - June 10, 1997
NEWPORT COAST SECURITIES, INC.
September 22, 1995 - December 12, 1995
PRUDENTIAL EQUITY GROUP, LLC
October 20, 1993 - October 2, 1995
CITIGROUP GLOBAL MARKETS 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
GIRARD SECURITIES, INC.
CRD#: 18697 / SEC#: 801-61470, 8-36920
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARGERS ACQUISITION LLC | SHAREHOLDER | |
| BALLARD, JAMES DAVID | VP | 1714327 |
| BARRAGAN, JOHN ARTHUR III | PRESIDENT/COO | 2941942 |
| GRAHAM, LUANNE MARIE | ADVISORY CCO | 2310126 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBSEN, BRYAN K | B-D CCO, SECRETARY | 3055957 |
| KLICMAN, SHIRLEY ANNE | VP | 1771713 |
| OLSON, GREGORY ALAN | ASST. SECRETARY | 2692482 |
| ROGERS, JASON DYLAN | SENIOR EXECUTIVE VP | 2641674 |
| SHERROD, TRACI LYNN | AVP | 4321192 |
| SMILEY, STANLEY ROBERT | VP | 3004604 |
| TIETJEN, MARGARET SUSAN | CHIEF EXECUTIVE OFFICER/ DIRECTOR | 1294862 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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