Derrick 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.
Derrick Williams, who also goes by Derrick D Williams, Derrick David Williams Sr, Derrick David Williams, was a registered financial professional .
Derrick is a previously registered financial professional and started their career in finance in 1998. Derrick had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 31, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2014 - December 3, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 2014 - December 3, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 24, 2012 - May 2, 2013
TD AMERITRADE, INC.
July 24, 2012 - May 2, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 24, 2012 - May 2, 2013
TD AMERITRADE, INC.
November 23, 2011 - July 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2011 - July 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 2008 - January 7, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 25, 2008 - January 7, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 29, 2007 - July 24, 2008
CITIGROUP GLOBAL MARKETS INC.
October 3, 2007 - July 24, 2008
CITIGROUP GLOBAL MARKETS INC.
May 15, 2007 - August 20, 2007
MORGAN STANLEY & CO. LLC
April 10, 2007 - August 20, 2007
MORGAN STANLEY & CO. LLC
February 5, 2003 - October 3, 2003
CITICORP INVESTMENT SERVICES
April 23, 1998 - February 5, 2003
CAL FED INVESTMENTS
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
