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JW

Jason P. Williams

Some features on this profile are disabled
CRD#: 2899371
JW

Professional summary

Being a previously registered professional could mean that this person 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.

Jason Paul Williams, who also goes by Jason Williams, was a registered financial professional .

Jason is a previously registered financial professional and started their career in finance in 1997. Jason had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jason 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.
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

July 1, 2025 - March 2, 2026

BALANZ CAPITAL USA LLC

BD
CRD#: 325914
CORAL GABLES, FL
Past

December 8, 2009 - August 7, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NEW YORK, NY
Past

November 13, 2009 - August 7, 2020

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEW YORK, NY
Past

September 3, 2003 - November 16, 2009

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
BEVERLY HILLS, CA
Past

September 3, 2003 - November 16, 2009

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
BEVERLY HILLS, CA
Past

December 12, 2001 - September 4, 2003

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

June 4, 1999 - December 20, 2001

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

February 9, 1998 - June 11, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 14, 1997 - March 2, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX
Past

June 17, 1997 - August 6, 1997

NATIONAL CLEARING CORP.

BD
CRD#: 14343
SHERMAN OAKS, CA

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
IAR
Series 66
Date: 4/25/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/20/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/29/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/16/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/29/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/29/2023
General Securities Sales Supervisor - Options Module Examination

Current Firm

BC
BALANZ CAPITAL USA LLC
BALANZ CAPITAL | BALANZ CAPITAL USA LLC

CRD#: 325914 / SEC#: , 8-71085

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2811 Ponce De Leon Blvd Suite 710, Coral Gables, FL 33134
Mailing Address
2811 Ponce De Leon Blvd Suite 710, Coral Gables, FL 33134
Phone number
(786) 687-4066
Established
Florida since 06/06/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BALANZ HOLDINGS US LLCSOLE MEMBER
GILMAN, ROBERT CRAIGFINOP1738412
GONZALES, PHILIPPE ROGERCCO AMLRO5667179
LUCIER, ALFRED ARTHUR IIMANAGING DIRECTOR, CEO2872941

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.

Company Information

BALANZ CAPITAL USA LLC

CRD#: 325914

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