AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DW

David H. Williams

DEER ISLE RESEARCH & MANAGEMENT
Stonington, ME
Some features on this profile are disabled
CRD#: 3190288
DW

Professional summary

David Handel Williams is a registered financial advisor currently at DEER ISLE RESEARCH & MANAGEMENT, LLC located in Stonington, Maine.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. David has worked at 6 firms and has passed the Series 66, Series 63, Series 87, Series 86 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view David Handel 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®
None

Experience

Current

July 20, 2011 - Present

DEER ISLE RESEARCH & MANAGEMENT, LLC

RIA
CRD#: 156636
Stonington, ME
Past

May 10, 2010 - December 31, 2010

SOURCE CAPITAL GROUP, INC.

RIA
CRD#: 36719
STAMFORD, CT
Past

May 21, 2009 - December 31, 2010

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

August 25, 2006 - April 24, 2007

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
NEW YORK, NY
Past

May 3, 2004 - November 14, 2005

WESTPORT CAPITAL MARKETS, LLC

BD
CRD#: 41562
WESTPORT, CT
Past

May 9, 2001 - March 12, 2003

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

May 14, 1999 - May 11, 2001

GREENWICH GLOBAL, LLC

BD
CRD#: 37304
WILTON, CT

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
Maine
(7/20/2011)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/23/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/1/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 1/31/2007
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 1/10/2007
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 5/13/1999
General Securities Representative Examination

Current Firm

DI
DEER ISLE RESEARCH & MANAGEMENT, LLC
DEER ISLE RESEARCH & MANAGEMENT, LLC | WILLIAMS, DAVID H.

CRD#: 156636 / SEC#:

Maine
Registered Investment Advisory firm - (7/20/2011 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Stonington, ME
Mailing Address
Phone number
(207) 469-5409
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

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

DEER ISLE RESEARCH & MANAGEMENT, LLC

CRD#: 156636Stonington, ME

TRUST BUT VERIFY

Monitor David Williams

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.