Roderick J. 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.
Roderick Joseph Williams, who also goes by Rick Williams Jr, Roderick Joseph Williams Jr, Roderick Williams Jr, was a registered financial professional .
Roderick is a previously registered financial professional and started their career in finance in 1996. Roderick had worked at 1 firm and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 1996 - November 15, 2000
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
CRD#: 332 / SEC#: , 8-5889
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
