Jon S. 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.
Jon Scott Williams, who also goes by Scott Williams, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1995. Jon had worked at 14 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2021 - December 16, 2024
LPL FINANCIAL LLC
September 24, 2021 - December 16, 2024
LPL FINANCIAL LLC
August 29, 2018 - June 18, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 27, 2018 - June 18, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 2, 2017 - August 8, 2018
EQUITABLE ADVISORS, LLC
March 8, 2016 - August 8, 2018
EQUITABLE ADVISORS, LLC
September 30, 2014 - January 9, 2016
OSAIC SERVICES, INC.
March 15, 2013 - June 6, 2014
MSI FINANCIAL SERVICES, INC.
February 8, 2013 - June 6, 2014
MSI FINANCIAL SERVICES, INC.
November 8, 2010 - February 7, 2013
U.S. BANCORP INVESTMENTS, INC.
November 4, 2010 - February 7, 2013
U.S. BANCORP INVESTMENTS, INC.
May 3, 2005 - October 25, 2010
MORGAN KEEGAN & COMPANY, LLC
April 29, 2005 - October 25, 2010
MORGAN KEEGAN & COMPANY, LLC
January 3, 2005 - May 3, 2005
TRUIST INVESTMENT SERVICES, INC.
January 3, 2005 - May 3, 2005
TRUIST INVESTMENT SERVICES, INC.
January 8, 2004 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
May 19, 2003 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
July 12, 2002 - May 6, 2003
TOUCHSTONE SECURITIES, INC.
December 9, 2000 - June 19, 2002
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 9, 1999 - November 8, 2000
PFIC SECURITIES CORPORATION
February 1, 1997 - October 25, 1999
INVEST FINANCIAL CORPORATION
November 16, 1995 - February 1, 1997
AMERISTAR CAPITAL MARKETS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
