Wyvona K. 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.
Wyvona Kaye Williams, who also goes by Wyvona Kaye Gouthro, Wyvona Kaye Hall, Wyvona Kaye Lauritzen, Wyvona Kaye VIneyard, was a registered financial professional .
Wyvona is a previously registered financial professional and started their career in finance in 1997. Wyvona had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2013 - April 10, 2015
NATIONAL SECURITIES CORPORATION
July 25, 2008 - January 3, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 17, 2008 - January 3, 2012
WELLS FARGO CLEARING SERVICES, LLC
March 28, 2005 - June 5, 2008
FARMERS FINANCIAL SOLUTIONS, LLC
April 5, 2001 - October 10, 2001
ESSEX NATIONAL SECURITIES, LLC
May 8, 2000 - April 17, 2001
LPL FINANCIAL LLC
September 3, 1997 - April 28, 1998
U.S. BANCORP INVESTMENTS, INC.
May 9, 1997 - September 3, 1997
U.S. BANCORP SECURITIES
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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
