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Frederick Beazley Williams

CRD# 2573608·Registered 1998 - 2015
Previously Registered: Being a previously registered professional could mean that Frederick 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.

Professional Summary

Frederick Beazley Williams, who also goes by Derick Beazley Williams, Fredrick Beazley Williams, was a registered financial advisor. Frederick was a previously registered financial professional and started their career in finance 1998 - 2015. Frederick had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Derick Beazley Williams, Fredrick Beazley Williams

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years in the financial services industry

Current & Past Employments

THE FIG GROUP, LLC·CRD# 133558
BD
Dallas, TX
June 27, 2014 - March 12, 2015
TRANSCEND CAPITAL·CRD# 104483
BD
Austin, TX
May 29, 2012 - January 21, 2014
PFS INVESTMENTS INC.·CRD# 10111
BD
Dallas, TX
July 25, 2011 - December 31, 2011
PFS INVESTMENTS INC.·CRD# 10111
RIA
Dallas, TX
June 24, 2011 - December 31, 2011
HILLTOP SECURITIES INC.·CRD# 6220
RIA
Dallas, TX
October 15, 2007 - July 20, 2009
HILLTOP SECURITIES INC.·CRD# 6220
BD
Dallas, TX
October 15, 2007 - July 20, 2009
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
Dallas, TX
August 14, 2006 - October 29, 2007
S&P INVESTORS, INC.·CRD# 18421
BD
Dallas, TX
December 7, 2004 - August 14, 2006
A. G. EDWARDS & SONS, INC.·CRD# 4
RIA
Fort Worth, TX
November 15, 2002 - December 6, 2002
A. G. EDWARDS & SONS, INC.·CRD# 4
BD
St. Louis, MO
October 26, 1998 - December 6, 2002

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Current Firm

TF
THE FIG GROUP, LLC

THE FIG GROUP, LLC

CRD#: 133558 / SEC#: 8-66733
BD
Terminated by SEC on 01/15/2023

Contact Information

Main Address

2626 Cole Avenue Suite 300, Dallas, TX 75204

Phone Number

(214) 273-3231

Established

Texas since 07/27/2004

Firm Type

Limited Liability Company

Fiscal Year End

June

Firm Size

Small

# of Employees

2

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MESSERSCHMITT, EMILY SAABMEMBER, MANAGER, PRESIDENT, CCO4475982
SAAB, ELAINE NEJAMMEMBER, MANAGER2028848
AMSBERRY, RICHARD FFINOP2917504

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Aug 2007About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1998About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Mar 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1998About the Series 7 exam

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CRS (Client Relationship Summary)

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

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