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CW

Clinton Williams

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CRD#: 2479051
CW

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.

Clinton Williams SR, who also goes by Clinton Williams, was a registered financial professional .

Clinton is a previously registered financial professional and started their career in finance in 1994. Clinton had worked at 11 firms and has passed the SIE, Series 7, Series 4, Series 53, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Clinton 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 5, 2009 - March 23, 2020

VALOR FINANCIAL SECURITIES LLC

BD
CRD#: 150726
WINTER HAVEN, FL
Past

March 13, 2008 - December 31, 2009

CETERA ADVISORS LLC

BD
CRD#: 10299
WINTER HAVEN, FL
Past

September 9, 2005 - December 31, 2007

CETERA ADVISORS LLC

BD
CRD#: 10299
EL SEGUNDO, CA
Past

September 9, 2005 - December 31, 2007

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
EL SEGUNDO, CA
Past

September 9, 2005 - December 31, 2007

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

June 28, 2001 - November 14, 2003

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
OMAHA, NE
Past

June 28, 2001 - November 13, 2006

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

June 28, 2001 - November 13, 2006

GUARANTY BROKERAGE SERVICES, INC.

BD
CRD#: 23302
ST. CLOUD, MN
Past

June 28, 2001 - November 13, 2006

BANCNORTH INVESTMENT GROUP, INC.

BD
CRD#: 31299
ST. CLOUD, MN
Past

April 1, 1999 - June 18, 2001

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

May 21, 1998 - April 1, 1999

WACHOVIA CAPITAL MARKETS, INC.

BD
CRD#: 44964
WINSTON SALEM, NC
Past

April 20, 1994 - May 21, 1998

WACHOVIA BROKERAGE SERVICE

BD
CRD#: 17503
WINSTON SALEM, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/10/2009
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/12/1997
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/5/1994
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/2/1994
General Securities Principal Examination

Current Firm

VF
VALOR FINANCIAL SECURITIES LLC
VALOR FINANCIAL SECURITIES LLC

CRD#: 150726 / SEC#: , 8-68291

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
521 West Central Avenue, Winter Haven, FL 33880-2971
Mailing Address
521 West Central Avenue, Winter Haven, FL 33880-2971
Phone number
(863) 294-3361
Established
Florida since 05/15/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WELLS, JAMES PATRICKPRESIDENT/MANAGING MEMBER/CEO, CHIEF COMPLIANCE OFFICER1534949
WELLS, PATRICIA GADECKIMEMBER/MANAGING PRINCIPAL1233407

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.

Company Information

VALOR FINANCIAL SECURITIES LLC

CRD#: 150726

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