JW
John M. Williams
DOMINARI SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 2833948
JW
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 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John M 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.
1) PHOTOS BY JWILL: PO BOX 1113, MELVILLE, NY 11747. 10/2012. I AM PHOTOGRAPHER/OWNER FOR THIS PHOTOGRAPHY BUSINESS. I WILL DEVOTE 10-15 HOURS PER MONTH TO THIS BUSINESS. I AM COMPENSATED BY FEES. 2) JWill150 Consulting - business and compliance consultant. 7/2017. I will devote 10-15 hours per month. I am compensated by fees.
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 8, 2024 - Present
DOMINARI SECURITIES LLC
Office #1: 725 Fifth Ave. 23rd Fl., New York, NY, 10022RIA
BD
CRD#: 18975
New York, NY
Current
October 8, 2024 - Present
DOMINARI SECURITIES LLC
Office #1: 725 Fifth Avenue 23rd Fl., New York, NY, 10022RIA
BD
CRD#: 18975
New York, NY
Past
March 24, 2021 - October 9, 2024
ALEXANDER CAPITAL, L.P.
BD
CRD#: 40077
STATEN ISLAND, NY
Past
March 27, 2015 - April 7, 2021
ARIVE CAPITAL MARKETS
BD
CRD#: 8060
Bay Ridge, NY
Past
February 26, 2013 - March 20, 2015
SOUTHEAST INVESTMENTS, N.C., INC.
BD
CRD#: 43035
Brooklyn, NY
Past
March 4, 2011 - May 19, 2011
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
December 20, 2006 - December 31, 2010
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
BROOKLYN, NY
Past
October 17, 2005 - November 30, 2006
TRIDENT PARTNERS LTD.
BD
CRD#: 41258
JERICHO, NY
Past
July 6, 2005 - November 18, 2005
A.G.P. / ALLIANCE GLOBAL PARTNERS
BD
CRD#: 8361
WESTPORT, CT
Past
December 17, 2004 - June 23, 2005
ANDREW GARRETT INC.
BD
CRD#: 29931
NEW YORK, NY
Past
April 8, 2003 - January 5, 2005
LH ROSS & COMPANY, INC.
BD
CRD#: 37920
BOCA RATON, FL
Past
March 14, 2002 - April 11, 2003
SALOMON GREY FINANCIAL CORPORATION
BD
CRD#: 43413
DALLAS, TX
Past
November 14, 2001 - March 27, 2002
DELTA ASSET MANAGEMENT COMPANY, LLC
BD
CRD#: 39923
MINEOLA, NY
Past
March 24, 2000 - October 18, 2001
LH ROSS & COMPANY, INC.
BD
CRD#: 37920
BOCA RATON, FL
Past
May 6, 1998 - March 1, 2000
BAXTER BANKS & SMITH, LTD.
BD
CRD#: 40771
ST. PETERSBURG, FL
Past
March 16, 1998 - May 13, 1998
HARVESTONS SECURITIES, INC.
BD
CRD#: 34509
GREENWOOD VILLAGE, CO
Past
November 17, 1997 - March 24, 1998
INTERNATIONAL BOND AND SHARE, INC.
BD
CRD#: 43196
ST. PETERSBURG, FL
Past
May 8, 1997 - November 18, 1997
WEST AMERICA SECURITIES CORP
BD
CRD#: 35035
LAS VEGAS, NV
Past
January 30, 1997 - May 8, 1997
SMITH, BENTON & HUGHES, INC.
BD
CRD#: 20877
LOS ANGELES, CA
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".
DS
DOMINARI SECURITIES LLC
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
CRD#: 18975 / SEC#: 801-78295, 8-37105
RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
IAR
New York(10/8/2024)
RR
New York(10/15/2024)
RR
Pennsylvania(8/6/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
DS
DOMINARI SECURITIES LLC
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
CRD#: 18975 / SEC#: 801-78295, 8-37105
RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Mailing Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Phone number
(212) 393-4500
Established
Delaware since 04/05/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
11
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
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 | 235 |
| AUM (Assets Under Management) | $ 41,647,787 |
Disclosures
| Regulatory Event | 5 |
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.
