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Michael Barrett Williams

CRD# 2853218·Registered 1997 - 2024
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Barrett Williams was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1997 - 2024. Michael had worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

QUANTLAB BROKERAGE, LLC·CRD# 299468
BD
Houston, TX
October 15, 2019 - May 17, 2024
QUANTLAB SECURITIES LP·CRD# 119955
BD
Houston, TX
August 27, 2002 - March 5, 2020
TAFFERER TRADING, LLC·CRD# 36816
BD
New York, NY
September 27, 2001 - April 15, 2002
LANDMARK SECURITIES CORPORATION·CRD# 39506
BD
Houston, TX
May 30, 1997 - October 25, 2000

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Current Firm

QB
QUANTLAB BROKERAGE, LLC

QUANTLAB BROKERAGE, LLC

CRD#: 299468 / SEC#: 8-70274
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Contact Information

Main Address

3 Greenway Plaza Suite 200, Houston, TX 77046

Mailing Address

3 Greenway Plaza Suite 200, Houston, TX 77046

Phone Number

(713) 400-5440

Established

Delaware since 09/26/2018

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (4 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
QUANTLAB BROKERAGE HOLDINGS, LLCSOLE MEMBER—
LEE, VICTORCFO/FINOP/COO6981417
ROBERTSON, JAMES SEEARCHIEF COMPLIANCE OFFICER, CEO, AMLCO, DESIGNATED PRINCIPAL6165573

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1999About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jul 2002

Series 7 — General Securities Representative Examination

Passed May 1997About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Jun 2010About the Series 14 exam

Series 4 — Registered Options Principal Examination

Passed May 2008About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Jun 1997About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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