AW
Anthony C. Williams
CETERA INVESTMENT ADVISERS LLC
SCOTTSDALE, AZ 85253
Some features on this profile are disabled
CRD#: 2484269
AW
Professional summary
Anthony Chapman Williams, ChFC®, CLU®, who also goes by Anthony C Williams, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA ADVISORS LLC located in Scottsdale, Arizona.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Anthony has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony C 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.
1) NAME OF OTHER BUSINESS: ORTHOPAEDIST ADVISORY GROUP ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; POSITION/TITLE/RELATIONSHIP: PRESIDENT / FINANCIAL ADVISOR ; START DATE: 09/2016 ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: BRANDING FOR SECURITIES BUSINESS ; 2) NAME OF OTHER BUSINESS: MOSAIC FINANCIAL ASSOCIATES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; POSITION/TITLE/RELATIONSHIP: PRESIDENT / FINANCIAL ADVISOR ; START DATE: 09/2016 ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS ; 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/2020 ; APX NUMBER OF HOURS PER WEEK: 4 ; APX NUMBER OF HOURS DURING TRADING HOURS: 4 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY AND LONG TERM CARE ; 4) NAME OF OTHER BUSINESS: MOSAIC INSURANCE ASSOCIATES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: INSURANCE SALES ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; START DATE: 09/2016 ; APX NUMBER OF HOURS PER WEEK: 10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 10 ; BRIEF DESCRIPTION OF DUTIES: PROVIDING INSURANCE PRODUCTS FOR CLIENTS ; 5) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: EDUCATIONAL SPEAKING, START DATE: 01/2022, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: PAID EDUCATION SPEAKING ENGAGEMENTS; 6) NAME OF OTHER BUSINESS: AMAZON KINDLE E-BOOK INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL ADDRESS, NATURE OF BUSINESS: BOOK, START DATE: 11/2022, POSITION/TITLE/RELATIONSHIP: AUTHOR, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: E BOOK OFFERED ON AMAZON ENTITLED PRESERVING YOUR LIFE'S WORK; 7) NAME OF OTHER BUSINESS: AMAZON KINDLE E-BOOK INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL ADDRESS, NATURE OF BUSINESS: BOOK, START DATE: 11/2022, POSITION/TITLE/RELATIONSHIP: AUTHOR, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: E BOOK OFFERED ON AMAZON ENTITLED A CLEAN BILL OF WEALTH; 8) NAME OF OTHER BUSINESS: ANTHONY WILLIAMS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: AMAZON KINDLE E-BOOK; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: AUTHOR; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: AUTHOR OF AMAZON KINDLE E-BOOK TITLED, "PRESERVING YOUR LIFE'S WORK"; 9) NAME OF OTHER BUSINESS: ANTHONY WILLIAMS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: AMAZON KINDLE E-BOOKS; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: AUTHOR; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: AMAZON KINDLE E-BOOK TITLED, "A CLEAN BILL OF WEALTH"; 10) NAME OF OTHER BUSINESS: STEPPING STONES OF HOPE; INVESTMENT RELATED: NO; ADDRESS: 3039 W PEORIA AVE, STE 102-294, PHOENIX, AZ 85029; NATURE OF BUSINESS: NONPROFIT START: 6/2015; TITLE: CAMP DIRECTOR; APX # OF HRS PER WK: 5; APX # OF HRS DURING TRADING HRS: 5; DUTIES: LEAD CAMP, DIRECT ACTIVITES;
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Chapman 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®
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7025 N Scottsdale Rd #115, Scottsdale, AZ 85253RIA
CRD#: 105644
SCOTTSDALE, AZ
Current
October 28, 2020 - Present
CETERA ADVISORS LLC
Office #1: 7025 N Scottsdale Rd #115, Scottsdale, AZ 85253BD
CRD#: 10299
SCOTTSDALE, AZ
Past
October 28, 2020 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
January 22, 2008 - October 30, 2020
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
TEMPE, AZ
Past
January 11, 2008 - October 30, 2020
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
TEMPE, AZ
Past
July 30, 2007 - December 31, 2007
CRI SECURITIES, LLC
RIA
CRD#: 22589
PHOENIX, AZ
Past
July 30, 2007 - January 16, 2008
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
PHOENIX, AZ
Past
November 6, 1996 - January 18, 2008
MARATHON ADVISORS, INC
RIA
CRD#: 113696
MINNEAPOLIS, MN
Past
June 20, 1994 - January 16, 2008
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
PHOENIX, AZ
Past
June 20, 1994 - January 16, 2008
CRI SECURITIES, LLC
BD
CRD#: 22589
PHOENIX, AZ
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/28/2020)
RR
Arizona(10/28/2020)
IAR
Arizona(3/21/2024)
RR
California(10/28/2020)
RR
Colorado(10/28/2020)
RR
Florida(1/3/2023)
RR
Hawaii(10/3/2023)
RR
Idaho(10/28/2020)
RR
Indiana(11/2/2021)
RR
Iowa(1/3/2023)
RR
Massachusetts(2/3/2023)
RR
Michigan(10/28/2020)
RR
Minnesota(10/28/2020)
RR
Mississippi(11/18/2022)
RR
Nebraska(9/19/2025)
RR
Nevada(10/28/2020)
RR
New Hampshire(8/8/2022)
RR
New Mexico(10/28/2020)
RR
New York(10/28/2020)
RR
North Carolina(11/9/2020)
RR
Ohio(10/28/2020)
RR
Oklahoma(1/3/2023)
RR
Oregon(10/28/2020)
RR
Pennsylvania(10/28/2020)
RR
South Carolina(8/22/2023)
RR
Texas(10/28/2020)
IAR
Texas(3/21/2024)
RR
Utah(1/3/2023)
RR
Virginia(10/10/2022)
RR
Washington(11/2/2020)
RR
West Virginia(4/4/2022)
RR
Wisconsin(10/28/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
