John H. Williams

COMPASS SECURITIES

Braintree, MA 02184-8734

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CRD#: 2760230

Professional summary

John Hopkins Williams, who also goes by John Hopkins Williams IV, is a registered financial professional currently at COMPASS SECURITIES CORPORATION located in Braintree, Massachusetts.

John is registered as a RR (Registered Representative) and started their career in finance in 1996. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Hopkins Williams Iv

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) - BD

Click below to view John Hopkins Williams's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 22, 2021 - Present

COMPASS SECURITIES CORPORATION

Office #1: 50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734

CRD#: 16168

Braintree, MA

Past

January 2, 2019 - August 19, 2021

SAXONY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122692

CHARLESTON, SC

Past

March 23, 2018 - December 21, 2018

SAXONY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122692

CHARLESTON, SC

Past

March 2, 2018 - August 19, 2021

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

ST LOUIS, MO

Past

March 2, 2017 - March 5, 2018

SILVER OAK SECURITIES, INCORPORATED

RIA

CRD#: 46947

Atlanta, GA

Past

February 28, 2017 - March 5, 2018

SILVER OAK SECURITIES, INCORPORATED

CRD#: 46947

JACKSON, TN

Past

December 2, 2005 - March 6, 2015

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

ATLANTA, GA

Past

May 24, 2001 - March 6, 2015

THORNBURG SECURITIES LLC

CRD#: 14857

SANTA FE, NM

Past

August 12, 1998 - March 19, 2001

BISYS SHELF B/D (1), INC.

CRD#: 26501

BOSTON, MA

Past

July 15, 1996 - July 8, 1998

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(8/22/2021)

Arkansas
(8/22/2021)

Florida
(8/22/2021)

Georgia
(8/22/2021)

Louisiana
(8/22/2021)

Mississippi
(8/22/2021)

Missouri
(8/22/2021)

New York
(2/1/2023)

North Carolina
(8/22/2021)

South Carolina
(8/22/2021)

Tennessee
(8/22/2021)

Exams

State Security Law Exam

IAR

Series 65

Date: 11/29/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/19/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/26/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/12/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

COMPASS SECURITIES CORPORATION

CRD#: 16168 / SEC#: , 8-33438

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734

Mailing Address

50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734

Phone number

(781) 535-6083

Established

Massachusetts since 11/05/1984

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
COMPASS HOLDING GROUP INC	SHAREHOLDER
CHAISSON, SCOTT STEPHEN	PRESIDENT/CEO	2353375
SHANAHAN, TIMOTHY FRANCIS	DIRECTOR-CHIEF FINANCIAL OFFICER	709231
WESCHLER, SUSAN MAUREEN	CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER	1796103

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

John H. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Hopkins Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAXONY CAPITAL MANAGEMENT, LLC

SAXONY CAPITAL MANAGEMENT, LLC

PATRICK CAPITAL MARKETS, LLC

SILVER OAK SECURITIES, INCORPORATED

SILVER OAK SECURITIES, INCORPORATED

THORNBURG INVESTMENT MANAGEMENT INC

THORNBURG SECURITIES LLC

BISYS SHELF B/D (1), INC.

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/29/2005

Series 63

Date: 7/19/1996

SIE

Date: 10/1/2018

Series 7

Date: 6/26/2001

Series 6

Date: 7/12/1996

FINRA

Current Firm

COMPASS SECURITIES CORPORATION

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

COMPASS SECURITIES CORPORATION

TRUST BUT VERIFY

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