Frederick B. 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.
Frederick Beazley Williams, who also goes by Derick Beazley Williams, Fredrick Beazley Williams, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1998. Frederick had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2014 - March 12, 2015
THE FIG GROUP, LLC
May 29, 2012 - January 21, 2014
TRANSCEND CAPITAL
July 25, 2011 - December 31, 2011
PFS INVESTMENTS INC.
June 24, 2011 - December 31, 2011
PFS INVESTMENTS INC.
October 15, 2007 - July 20, 2009
HILLTOP SECURITIES INC.
October 15, 2007 - July 20, 2009
HILLTOP SECURITIES INC.
August 14, 2006 - October 29, 2007
WELLS FARGO CLEARING SERVICES, LLC
December 7, 2004 - August 14, 2006
S&P INVESTORS, INC.
November 15, 2002 - December 6, 2002
A. G. EDWARDS & SONS, INC.
October 26, 1998 - December 6, 2002
A. G. EDWARDS & SONS, INC.
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
THE FIG GROUP, LLC
CRD#: 133558 / SEC#: , 8-66733
Contact information
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.
