Michael D. Williams

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CRD#: 2800867

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.

Michael Dudley Williams JR, CFP®, who also goes by Michael Dudley Williams Jr, Michael Dudley Williams, Ted Williams, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Dudley Williams Jr | Michael Dudley Williams | Ted 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.

Estate Planning Council of Stanislaus County; Not investment related, Modesto, CA, Secretary, Start date: 07/2025, 4 hours per month, 4 hours during trading hours, attend board meetings and seminars.

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®

CFP^®

Certified Financial Planner

Experience

Past

July 12, 2024 - October 23, 2025

MARINER WEALTH

RIA

CRD#: 140195

Fresno, CA

Past

March 9, 2023 - March 8, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Fresno, CA

Past

February 21, 2023 - March 8, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

FRESNO, CA

Past

August 11, 2014 - January 5, 2015

SAYBRUS EQUITY SERVICES, LLC

CRD#: 153319

HARTFORD, CT

Past

January 16, 2013 - August 18, 2014

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

CLOVIS, CA

Past

January 14, 2013 - August 18, 2014

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

March 9, 2011 - September 18, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MILWAUKEE, WI

Past

January 3, 2011 - March 7, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MILWAUKEE, WI

Past

January 3, 2011 - September 18, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MILWAUKEE, WI

Past

August 29, 2008 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

MILWAUKEE, WI

Past

August 29, 2008 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

MILWAUKEE, WI

Past

September 27, 2006 - August 1, 2008

J.P. MORGAN SECURITIES INC.

RIA

CRD#: 18718

ROCKFORD, IL

Past

July 1, 2006 - August 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

ROCKFORD, IL

Past

March 12, 2004 - September 27, 2006

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

ROCKFORD, IL

Past

March 12, 2004 - July 1, 2006

BANC ONE SECURITIES CORPORATION

CRD#: 16999

ROCKFORD, IL

Past

April 5, 2001 - March 22, 2004

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

ROCKFORD, IL

Past

September 30, 1996 - March 22, 2004

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

MARINER WEALTH

CRD#: 140195 / SEC#: 801-66632

RIA

Registered Investment Advisory firm - (4/24/2006 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/6/2023

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/5/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/21/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/6/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/28/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/2001

General Securities Principal Examination

Current Firm

MARINER WEALTH

CRD#: 140195 / SEC#: 801-66632

RIA

Registered Investment Advisory firm - (4/24/2006 Approved)

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Contact information

Main Address

5700 W. 112th Street Suite 500, Overland Park, KS 66211

Mailing Address

Phone number

(913) 904-5700

Established

Firm type

Fiscal year end

# of Employees

1,503

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARINER ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	155,767
AUM (Assets Under Management)	$ 98,603,233,201

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
11/19/2024	Cover Page	Report
12/21/2023	Cover Page	Report

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

Michael D. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

SAYBRUS EQUITY SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 3/6/2023

Series 65

Date: 4/5/2000

Series 63

Date: 10/1/1996

Series 7TO

Date: 2/21/2023

SIE

Date: 1/6/2023

Series 7

Date: 8/8/2001

Series 6

Date: 9/28/1996

Series 24

Date: 12/12/2001

Current Firm

MARINER WEALTH

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MARINER WEALTH

TRUST BUT VERIFY

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