John Marshall Williams
Professional Summary
John Marshall Williams, who also goes by John M Williams, is a registered financial advisor currently at DOMINARI SECURITIES LLC located in New York, New York. John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. John has worked at 17 firms and has passed the Series 65, Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 53, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John M Williams
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS
Contact Information
Main Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022Mailing Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022Phone Number
(212) 393-4500Established
Delaware since 04/05/2023Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
14SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINARI FINANCIAL, INC. | OWNER | — |
| CAMPBELL, ROBERT NMN | FINOP | 1349154 |
| DEIGNAN, EDWARD PHILIP JR | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 4597976 |
| MERCADO, JAIME | CHIEF COMPLIANCE OFFICER, AMLCO | 2863760 |
| NEWMAN, ERIC | EVP/ROP | 2509259 |
| WILLIAMS, JOHN MARSHALL | COMPLIANCE OFFICER | 2833948 |
| WOOL, KYLE MICHAEL | CEO/ PRESIDENT | 4238101 |
Regulatory Assets Under Management
Total Number of Accounts
97AUM (Assets Under Management)
$28,046,499Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS
State Registrations and Notice Filings
(4/8/2026)
(4/8/2026)
(10/8/2024)
(10/15/2024)
(8/6/2025)
(1/8/2026)
(4/17/2026)
(4/17/2026)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view John Marshall Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Marshall Williams's CRS (Customer Relationship Summary).
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