Shawn V. 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.
Shawn Vahid Williams, who also goes by Shawn V Williams, was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 1999. Shawn had worked at 7 firms and has passed the Series 63, Series 65, Series 57TO, Series 99TO, SIE, Series 3, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2011 - April 7, 2026
SG AMERICAS SECURITIES, LLC
October 9, 2009 - June 15, 2011
BNP PARIBAS SECURITIES CORP.
April 15, 2009 - September 25, 2009
FINANTIA USA INC.
July 28, 2005 - February 9, 2009
CITIGROUP GLOBAL MARKETS INC.
November 28, 2000 - March 14, 2003
CHARLES SCHWAB & CO., INC.
January 2, 2000 - November 10, 2000
MORGAN STANLEY DW INC.
February 26, 1999 - July 12, 1999
CETERA WEALTH SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CHIEF EXECUTIVE OFFICER | 6390499 |
| CULLEN, EDWARD PATRICK | OPERATIONAL RISK MANAGER | 1551615 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
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.
