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BW

Bretton W. Williams

SAXON FINANCIAL GROUP
Houston, TX 77027
Some features on this profile are disabled
CRD#: 3177050
BW

Professional summary

Bretton Wayne Williams, CFP®, who also goes by Brett Williams, is a registered financial advisor currently at SAXON FINANCIAL GROUP located in Houston, Texas.

Bretton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Bretton has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brett 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 Bretton Wayne 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®
CFP®

Certified Financial Planner

Start date: 2007

Experience

Current

February 19, 2021 - Present

SAXON FINANCIAL GROUP

Office #1: 1177 West Loop S Suite 1825, Houston, TX 77027
RIA
CRD#: 311687
Houston, TX
Past

June 22, 2009 - April 8, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
HOUSTON, TX
Past

June 18, 2009 - April 8, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
HOUSTON, TX
Past

January 1, 2008 - June 19, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
HOUSTON, TX
Past

January 1, 2008 - June 19, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
HOUSTON, TX
Past

September 24, 2002 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
HOUSTON, TX
Past

April 19, 2001 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
HOUSTON, TX
Past

November 15, 1999 - May 1, 2001

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX

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".
SF
SAXON FINANCIAL GROUP
CAPITAL IMPACT STRATEGIES | SAXON INTERESTS, INC. | SAXON FINANCIAL GROUP | LOVE FINANCIAL GROUP | ERDIL FINANCIAL GROUP

CRD#: 311687 / SEC#: 801-120283

RIA
Registered Investment Advisory firm - (2/9/2021 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
(2/19/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/23/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/1/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/22/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 10/29/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/12/1999
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SF
SAXON FINANCIAL GROUP
CAPITAL IMPACT STRATEGIES | SAXON INTERESTS, INC. | SAXON FINANCIAL GROUP | LOVE FINANCIAL GROUP | ERDIL FINANCIAL GROUP

CRD#: 311687 / SEC#: 801-120283

RIA
Registered Investment Advisory firm - (2/9/2021 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1177 West Loop S Suite 1825, Houston, TX 77027
Mailing Address
Phone number
(713) 425-5340
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (5 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

SAXON FINANCIAL GROUP DISCLOSURE BROCHURE (3/11/2026)

Regulatory assets under management

Total Number of Accounts1,859
AUM (Assets Under Management)$ 679,123,679

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

SAXON FINANCIAL GROUP

CRD#: 311687Houston, TX 77027

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