Graham P. Williams
OPTIMIST RETIREMENT GROUP
Scottsdale, AZ 85260
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CRD#: 2601211
Professional summary
Graham Patrick Williams, CFP® is a registered financial advisor currently at OPTIMIST RETIREMENT GROUP, LLC located in Scottsdale, Arizona.
Graham is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Graham has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24 and Series 4 exams.
Question & Answer
What are your service offerings?
Investment Planning
Retirement Planning
Retirement Income Management
Are you a "fiduciary"?
Yes
Aliases
None
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) 2004; WILLIAMS PALMER LLC., SCOTTSDALE, AZ; INVESTMENT RELATED; REGISTERED INVESTMENT ADVISOR; MANAGING MEMBER; PROVIDE INVESTMENT MANAGEMENT ADVICE TO CLIENTS, MANAGE BUSINESS AFFAIRS OF ENTITY; 120 HRS/MONTH, 40 HRS/MONTH DURING MARKET HOURS.
2) 1997; INSURANCE, SCOTTSDALE, AZ; NON INVESTMENT RELATED; LICENSED INSURANCE AGENT; SALE OF LIFE, HEALTH, DISABILITY, LTC INSURANCE AND ANNUITIES; DEVOTE 20 HRS/MONTH, 1 HR DURING MARKET HOURS.
3) AUG 2016; WILLIAMS PALMER REAL ESTATE, LLC; SCOTTSDALE, AZ; NON INVESTMENT RELATED; OWNER OF OFFICE CONDO IN SCOTTSDALE, AZ; MANAGING MEMBER; DEVOTE LESS THAN 1 HR/MONTH.
4) JAN 2017; BOOK SALES ON AMAZON; NON INVESTMENT RELATED; AUTHOR; SALE OF SELF AUTHORED BOOK; DEVOTE LESS THAN 1 HR PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Graham Patrick 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®
CFP®
Start date: 2001
Experience
Current
May 19, 2005 - Present
OPTIMIST RETIREMENT GROUP, LLC
Office #1: 9845 E. Bell Rd #120, Scottsdale, AZ 85260Office #2: 11400 Se 8th St. Suite 465, Bellevue, WA 98004RIA
CRD#: 119086
Scottsdale, AZ
Past
December 26, 2018 - January 14, 2020
M. S. HOWELLS & CO.
BD
CRD#: 104100
SCOTTSDALE, AZ
Past
February 28, 2012 - December 27, 2018
CETERA ADVISORS LLC
BD
CRD#: 10299
BELLEVUE, WA
Past
January 23, 1997 - July 1, 2005
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
BELLEVUE, WA
Past
November 27, 1996 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
BELLEVUE, WA
Past
April 5, 1995 - October 14, 1996
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 5, 1995 - October 14, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
OR
OPTIMIST RETIREMENT GROUP, LLC
OPTIMIST RETIREMENT GROUP, LLC | WILLIAMS PALMER, LLC | WILLIAMS PALMER | TUSHAUS WEALTH MANAGEMENT | OPTIMIST RETIREMENT, LLC
CRD#: 119086 / SEC#: 801-114109
RIA
Registered Investment Advisory firm - (10/9/2018 Approved)Arizona
Registered Investment Advisory firm - (10/17/2018 Terminated)Texas
Registered Investment Advisory firm - (10/17/2018 Terminated)Washington
Registered Investment Advisory firm - (10/24/2018 Terminated)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.Highlighted states indicate IAR registrations
IAR
Arizona(6/26/2012)
IAR
Texas(9/14/2015)
IAR
Washington(5/19/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
OR
OPTIMIST RETIREMENT GROUP, LLC
OPTIMIST RETIREMENT GROUP, LLC | WILLIAMS PALMER, LLC | WILLIAMS PALMER | TUSHAUS WEALTH MANAGEMENT | OPTIMIST RETIREMENT, LLC
CRD#: 119086 / SEC#: 801-114109
RIA
Registered Investment Advisory firm - (10/9/2018 Approved)Arizona
Registered Investment Advisory firm - (10/17/2018 Terminated)Texas
Registered Investment Advisory firm - (10/17/2018 Terminated)Washington
Registered Investment Advisory firm - (10/24/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11400 Se 8th St. Suite 465, Bellevue, WA 98004
Mailing Address
Phone number
(425) 637-3037
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 213 |
| AUM (Assets Under Management) | $ 243,099,072 |
Red Flags
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