CW
Christopher J. Williams
CETERA INVESTMENT ADVISERS LLC
CLINTON, MA 01510
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CRD#: 3125254
CW
Professional summary
Christopher Jon Williams, who also goes by Chris Williams, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Clinton, Massachusetts and CETERA ADVISORS LLC located in Clinton, Massachusetts.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Christopher has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris 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.
1. DBA: WILLIAMS FINANICAL GROUP, SAME AS REGSITERED LOCATION. 2. OBA: FIXED INSURANCE. SAME AS REGSITERED LOCATION. TITLE: AGENT. START DATE: 6/1/1999. HOURS PER MONTH: 8; HOURS DURING TRADING: 8. 3. ROTARY CLUB OF CLINTON. PO BOX 272 CLINTON MA 01510. CIVIC ORGANIZATION. MEMBER. START DATE: 6/28/2001. HOURS PER MONTH: 6; HOURS DURING TRADING: 6. 4.NAME OF OTHER BUSINESS: CLINTON SAVINGS BANK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: BANK START DATE: 4/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: REGISTERED REP BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES 5.NAME OF OTHER BUSINESS: CLINTON SAVINGS BANK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: BANK START DATE: 4/2017 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: DIRECTOR BRIEF DESCRIPTION OF DUTIES: ON THE BOARD OF DIRECTORS 6. NAME OF OTHER BUSINESS: RTPC, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RENTAL PROPERTIES; START DATE: 7/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENTAL OUT 2 RENTAL PROPERTIES;
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Jon Williams's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1015 Main Street, Clinton, MA 01510RIA
CRD#: 105644
CLINTON, MA
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 1015 Main Street, Clinton, MA 01510BD
CRD#: 10299
Clinton, MA
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
CLINTON, MA
Past
December 1, 2006 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
CLINTON, MA
Past
November 30, 2006 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
CLINTON, MA
Past
March 25, 2005 - December 4, 2006
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CLINTON, MA
Past
June 14, 1999 - December 4, 2006
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CLINTON, MA
Past
October 27, 1998 - May 5, 1999
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/26/2023)
RR
Arizona(10/3/2016)
RR
California(10/3/2016)
RR
Connecticut(10/3/2016)
RR
Florida(10/3/2016)
RR
Georgia(3/28/2024)
RR
Illinois(11/20/2023)
RR
Kentucky(3/14/2025)
RR
Maine(10/3/2016)
RR
Massachusetts(10/3/2016)
IAR
Massachusetts(3/21/2024)
RR
New Hampshire(10/3/2016)
RR
New York(10/3/2016)
RR
North Carolina(3/6/2023)
RR
Pennsylvania(3/21/2023)
RR
Rhode Island(10/3/2016)
RR
South Carolina(10/3/2016)
RR
South Dakota(11/6/2019)
RR
Tennessee(3/18/2025)
RR
Texas(8/7/2020)
IAR
Texas(3/21/2024)
RR
Vermont(10/3/2016)
RR
Virginia(4/2/2019)
RR
Wisconsin(3/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Clinton, MA 01510TRUST BUT VERIFY
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