Emily G. 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.
Emily Gail Williams, who also goes by Emily Gail Little, was a registered financial professional .
Emily is a previously registered financial professional and started their career in finance in 1998. Emily had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2011 - June 18, 2015
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
September 30, 2009 - June 30, 2011
PURSHE KAPLAN STERLING INVESTMENTS
May 3, 2005 - June 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 3, 2005 - June 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 11, 1998 - March 4, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
July 10, 1998 - March 4, 2005
IDS LIFE INSURANCE COMPANY
July 10, 1998 - March 4, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
CRD#: 128904 / SEC#: , 8-66183
Contact information
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
