Rufus T. 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.
Rufus Theodore Williams III, CFP®, ChFC®, who also goes by Rufus Theodore Williams, was a registered financial professional .
Rufus is a previously registered financial professional and started their career in finance in 1994. Rufus had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 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
Start date: 2002
Experience
July 1, 2024 - January 6, 2026
SOLANO WEALTH ADVISORS
January 3, 2014 - August 20, 2024
SOLANO WEALTH MANAGEMENT, INC.
January 24, 2002 - January 21, 2015
LPL FINANCIAL LLC
January 2, 2002 - December 31, 2025
LPL FINANCIAL LLC
December 12, 1996 - January 7, 2002
EDWARD JONES
January 21, 1994 - October 11, 1996
WADDELL & REED
Primary Firm SEC Registration
SOLANO WEALTH ADVISORS
CRD#: 322037 / SEC#: 801-130590
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
SOLANO WEALTH ADVISORS
CRD#: 322037 / SEC#: 801-130590
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 740 |
| AUM (Assets Under Management) | $ 331,919,831 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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