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William S. Stevens

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CRD#: 2889238
WS

Professional summary

William Slay Stevens was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, William had worked at 5 firms, which includes WFG INVESTMENTS INC., FIRST LEGACY SECURITIES LLC, SUNSET FINANCIAL SERVICES INC., NEW ENGLAND SECURITIES, NYLIFE SECURITIES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Slay Stevens

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 16, 2010 - August 17, 2010

WFG INVESTMENTS, INC.

BD
CRD#: 22704
MONTGOMERY, AL
Past

September 30, 2008 - February 18, 2010

FIRST LEGACY SECURITIES, LLC

BD
CRD#: 47079
MONTGOMERY, AL
Past

September 18, 2007 - September 26, 2008

SUNSET FINANCIAL SERVICES, INC.

BD
CRD#: 3538
MONTGOMERY, AL
Past

December 7, 2004 - October 1, 2007

NEW ENGLAND SECURITIES

BD
CRD#: 615
MONTGOMERY, AL
Past

September 9, 1997 - December 9, 2004

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/16/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/29/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/5/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WI
WFG INVESTMENTS, INC.
THE (WILSON) WILLIAMS FINANCIAL GROUP | WILLIAMS, BUCHANAN & COMPANY, INC. | WILLIAMS FINANCIAL GROUP | WFG INVESTMENTS, INC.

CRD#: 22704 / SEC#: , 8-39928

BD
Terminated by SEC on 11/21/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 06/08/1988
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WILLIAMS FINANCIAL GROUPOWNER
WILLIAMS, DAVID WILSONPRESIDENT/CHIEF COMPLIANCE OFFICER4178982
WILLIAMS, WILSON HENRYCHAIRMAN OF THE BOARD, CEO834161

Disclosures

Regulatory Event23
Civil Event1
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

WFG INVESTMENTS, INC.

CRD#: 22704

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