Kevin F. Williams
Professional summary
Kevin Fredrick Williams was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kevin is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Kevin had worked at 6 firms, which includes LUCIA CAPITAL GROUP, LUCIA SECURITIES LLC, WELLS FARGO CLEARING SERVICES LLC, WELLS FARGO INVESTMENTS LLC, MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2019 - January 31, 2020
LUCIA CAPITAL GROUP
April 3, 2019 - January 15, 2020
LUCIA SECURITIES, LLC
January 3, 2011 - March 28, 2019
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - March 28, 2019
WELLS FARGO CLEARING SERVICES, LLC
July 8, 2002 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 8, 2002 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 24, 1998 - July 11, 2002
MORGAN STANLEY DW INC.
May 22, 1997 - July 11, 2002
MORGAN STANLEY DW INC.
June 8, 1994 - May 8, 1997
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Exams
Current Firm
LUCIA CAPITAL GROUP
CRD#: 152396 / SEC#: 801-71073
Contact information
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