John D. 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.
John Duncan Williams III was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1999. John had worked at 4 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2005 - May 1, 2007
MERCER ADVISORS
June 24, 2003 - November 6, 2003
OSAIC WEALTH, INC.
April 22, 2003 - November 6, 2003
OSAIC WEALTH, INC.
January 23, 2001 - July 26, 2001
MORGAN STANLEY DW INC.
April 1, 1999 - March 13, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
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
Current firm
No current employment
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.
