Shane B. Williams
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.
Shane Bradley Williams was a registered financial professional .
Shane is a previously registered financial professional and started their career in finance in 1997. Shane had worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 31 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2010 - April 24, 2012
MULTIPLE FINANCIAL SERVICES, INC.
October 7, 2010 - April 24, 2012
MULTIPLE FINANCIAL SERVICES, INC.
July 15, 2010 - September 30, 2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 22, 2010 - September 30, 2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 5, 1999 - January 18, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 1997 - January 8, 1999
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MULTIPLE FINANCIAL SERVICES, INC.
CRD#: 100100 / SEC#: , 8-52017
Contact information
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,800,000 |
Disclosures
| Regulatory Event | 1 |
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.
