Jimmy Jon Williams
CFP®Professional Summary
Jimmy Jon Williams, CFP® is a registered financial advisor currently at COMPASS CAPITAL MANAGEMENT, LLC located in Mcalester, Oklahoma and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Tulsa, Oklahoma. Jimmy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Jimmy has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
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
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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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Credentials
Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
COMPASS CAPITAL MANAGEMENT, LLC
Contact Information
Main Address
215 E. Choctaw Avenue Suite 101, Mcalester, OK 74501Mailing Address
P.o. Box 74502, Mcalester, OK 74501Phone Number
(918) 423-3222# of Employees
10SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
482AUM (Assets Under Management)
$118,999,578Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
COMPASS CAPITAL MANAGEMENT, LLC
State Registrations and Notice Filings
(6/8/2009)
(7/28/2009)
(3/5/2012)
(7/29/2020)
(1/2/2026)
(1/3/2011)
(8/12/2013)
(11/12/2014)
(6/22/2010)
(1/3/2013)
(5/21/2009)
(6/8/2009)
(8/10/2021)
(6/8/2009)
(7/29/2009)
(8/10/2021)
(8/31/2022)
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 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2000About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Jimmy Jon Williams's CRS (Customer Relationship Summary).
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