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William F. Williams

Some features on this profile are disabled
CRD#: 2653554
WW

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.

William Fedele Williams, who also goes by Bill Williams, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1996. William had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 27, 2006 - June 21, 2013

UPHOLD SECURITIES INC.

BD
CRD#: 34071
NEW YORK, NY
Past

March 6, 2006 - January 3, 2007

MIDDLEBURY SECURITIES LLC

BD
CRD#: 122602
WEYBRIDGE, VT
Past

October 6, 2003 - January 18, 2005

BROADPOINT AMTECH, INC.

BD
CRD#: 121456
GREENWICH, CT
Past

July 2, 1998 - January 24, 2000

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

March 25, 1998 - June 25, 1998

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

March 2, 1998 - April 17, 1998

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

October 9, 1997 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
DALLAS, TX
Past

April 22, 1997 - September 18, 1997

LOEWENBAUM & COMPANY INCORPORATED

BD
CRD#: 26560
AUSTIN, TX
Past

January 9, 1996 - February 28, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/6/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/12/2010
General Securities Principal Examination

Current Firm

US
UPHOLD SECURITIES INC.
JNK SECURITIES | UPHOLD SECURITIES, INC. DBA JNK SECURITIES | UPHOLD SECURITIES INC. | JNK SECURITIES CORP.

CRD#: 34071 / SEC#: , 8-46202

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
530 Fifth Avenue 3rd Floor, New York, NY 10036
Mailing Address
530 Fifth Avenue Ste 3a, New York, NY 10036
Phone number
(203) 554-5542
Established
New York since 05/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
UPHOLD, INC.PARENT
SNYDER, CURTIS LEE JRPRESIDENT & COO/CFO/CCO1885111

Disclosures

Regulatory Event1

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.

Company Information

UPHOLD SECURITIES INC.

CRD#: 34071

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