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DW

Douglas R. Williams

RETIREMENT PLANNERS OF AMERICA
HOUSTON, TX 77079
Some features on this profile are disabled
CRD#: 3156120
DW

Professional summary

Douglas Randal Williams, who also goes by Doug Williams, is a registered financial advisor currently at RETIREMENT PLANNERS OF AMERICA located in Houston, Texas.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Douglas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Doug 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Randal Williams's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 27, 2024 - Present

RETIREMENT PLANNERS OF AMERICA

Office #1: 757 North Eldridge Parkway Two Eldgridge, Suite 1250, Houston, TX 77079
RIA
CRD#: 157222
HOUSTON, TX
Past

June 1, 2007 - June 2, 2016

EDWARD JONES

RIA
CRD#: 250
GLASTONBURY, CT
Past

May 23, 2007 - June 2, 2016

EDWARD JONES

BD
CRD#: 250
GLASTONBURY, CT
Past

November 3, 2006 - May 14, 2007

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

May 4, 2005 - September 26, 2006

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
NEW YORK, NY
Past

April 20, 2005 - September 26, 2006

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NASHVILLE, TN
Past

December 11, 2004 - January 13, 2005

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
NEW YORK CITY, NY
Past

February 5, 2002 - December 11, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 6695
NEWPORT BEACH, CA
Past

January 6, 1999 - February 12, 2002

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT

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".
RP
RETIREMENT PLANNERS OF AMERICA
MMWKM ADVISORS, LLC | RPOA ADVISORS, INC. | RETIREMENT PLANNERS OF AMERICA | MONEY MATTERS WITH KEN MORAIF

CRD#: 157222 / SEC#: 801-72262

RIA
Registered Investment Advisory firm - (4/4/2011 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.

Highlighted states indicate IAR registrations

IAR
Texas
(8/27/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/8/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/4/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/2/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 4/25/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/5/1999
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RP
RETIREMENT PLANNERS OF AMERICA
MMWKM ADVISORS, LLC | RPOA ADVISORS, INC. | RETIREMENT PLANNERS OF AMERICA | MONEY MATTERS WITH KEN MORAIF

CRD#: 157222 / SEC#: 801-72262

RIA
Registered Investment Advisory firm - (4/4/2011 Approved)
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Contact information

Main Address
2820 Dallas Parkway, Plano, TX 75093
Mailing Address
Phone number
(469) 246-3600
Established
Firm type
Fiscal year end
# of Employees
126

SEC notice filing (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM BROCHURE (3/28/2025)
ADV PART 2A FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts15,760
AUM (Assets Under Management)$ 3,975,227,271

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

RETIREMENT PLANNERS OF AMERICA

CRD#: 157222Houston, TX 77079

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