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DW

David Williams

Some features on this profile are disabled
CRD#: 3105139
DW

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.

David Williams was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1998. David had worked at 3 firms and has passed the Series 63, Series 57TO, Series 3, SIE, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

June 27, 2024 - December 31, 2024

STONEX OUTSOURCED SERVICES LLC

BD
CRD#: 30773
BURNABY,
Past

June 27, 2024 - August 4, 2025

STONEX FINANCIAL INC.

BD
CRD#: 45993
BURNABY,
Past

October 29, 1998 - August 4, 2023

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
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: 7/11/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 12/13/2024
Securities Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 9/3/2024
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/26/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/29/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/15/2012
Registered Options Principal Examination

Current Firm

SO
STONEX OUTSOURCED SERVICES LLC
CRESSMAN ESSER SECURITIES LLC | STONEX OUTSOURCED SERVICES LLC | MARIANA CAPITAL USA, LLC | INTL FILLMORE ADVISORS LLC | FILLMORE ADVISORS, LLC | FILLMORE ADVISOR, LLC | CRESSMAN ESSER SECURITIES, INC.

CRD#: 30773 / SEC#: , 8-45150

BD
Terminated by SEC on 03/25/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/30/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAPLAN, ANDREW BOGENPRESIDENT/CHIEF EXECUTIVE OFFICER4235343
OLSSON, JAMES MARTINCCO/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER6331790

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

STONEX OUTSOURCED SERVICES LLC

CRD#: 30773

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