JW
John M. Williams
CONSTELLATION WEALTH ADVISORS
CINCINNATI, OH 45202
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CRD#: 2669535
JW
Professional summary
John Marshall Williams is a registered financial advisor currently at CONSTELLATION WEALTH ADVISORS located in Cincinnati, Ohio.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. John has worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
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) Entity/Business Name: Cincinnati Tennis Foundation; Investment related (Y/N): Y; Address: Cincinnati, OH; Nature of the Business: Nonprofit promoting tennis in sports based youth development programs; Position/Title/Relationship: Board Member; Approximate # of hours a month: nominal; Approximate # of hours during trading hours: nominal; Compensated (Y/N)? N; Briefly describe your duties: Supports the organization's mission and programs as a member of the Board of Directors 2) Entity/Business Name: United Way of Greater Cincinnati; Investment related (Y/N): Y; Address: 2400 Reading Rd, Cincinnati, OH 45202; Nature of the Business: Nonprofit dedicated to providing relief and solving pressing community challenges; Position/Title/Relationship: Foundation Board Member and Treasurer; Approximate # of hours a month: nominal; Approximate # of hours during trading hours: nominal; Compensated (Y/N)? N; Briefly describe your duties: Supports the organization's initiatives as a member of the Foundation Board
CRS (Client Relationship Summary) - RIA
Click below to view John Marshall 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®
NoneExperience
Current
December 20, 2010 - Present
CONSTELLATION WEALTH ADVISORS
Office #1: 255 East Fifth St. Suite 3000, Cincinnati, OH 45202RIA
CRD#: 147253
CINCINNATI, OH
Past
September 29, 2017 - May 28, 2020
CONSTELLATION WEALTH ADVISORS, LLC
RIA
CRD#: 289860
CINCINNATI, OH
Past
March 2, 2005 - June 27, 2008
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
CINCINNATI, OH
Past
February 26, 2004 - June 27, 2008
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
Past
June 16, 2001 - October 29, 2002
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
PITTSBURGH, PA
Past
March 6, 2000 - June 16, 2001
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
January 1, 1996 - April 20, 1998
SANFORD C. BERNSTEIN & CO., INC.
BD
CRD#: 1232
NEW YORK, NY
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".
CW
CONSTELLATION WEALTH ADVISORS
CONSTELLATION SPORTS COUNCIL | QUADRANT PRIVATE CAPITAL SOLUTIONS | QUADRANT PARTNERS | QUADRANT FAMILY WEALTH ADVISORS | QUADRANT CAPITAL GROUP LLC | CONSTELLATION WEALTH ADVISORS
CRD#: 147253 / SEC#: 801-69216
RIA
Registered Investment Advisory firm - (5/28/2008 Approved)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
Ohio(12/20/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
CW
CONSTELLATION WEALTH ADVISORS
CONSTELLATION SPORTS COUNCIL | QUADRANT PRIVATE CAPITAL SOLUTIONS | QUADRANT PARTNERS | QUADRANT FAMILY WEALTH ADVISORS | QUADRANT CAPITAL GROUP LLC | CONSTELLATION WEALTH ADVISORS
CRD#: 147253 / SEC#: 801-69216
RIA
Registered Investment Advisory firm - (5/28/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
255 East Fifth St. Suite 3000, Cincinnati, OH 45202
Mailing Address
Phone number
(513) 871-5500
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,454 |
| AUM (Assets Under Management) | $ 4,661,729,458 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 01/27/2025 | ||
| 10/24/2023 | ||
| 04/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CONSTELLATION WEALTH ADVISORS
CRD#: 147253Cincinnati, OH 45202TRUST BUT VERIFY
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