Nathan A. Williams

FRANKLIN DISTRIBUTORS

St. Petersburg, FL 33716

Some features on this profile are disabled

CRD#: 3235598

Professional summary

Nathan Andrew Williams, CIMA®, who also goes by Nate Williams, Nathan A Williams, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in St. Petersburg, Florida.

Nathan is registered as a RR (Registered Representative) and started their career in finance in 1999. Nathan has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nate Williams | Nathan A 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) - BD

Click below to view Nathan Andrew 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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

July 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 100 Fountain Parkway, St. Petersburg, FL 33716

CRD#: 109064

St. Petersburg, FL

Past

August 4, 2016 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

WENHAM, MA

Past

June 7, 2016 - July 15, 2016

3D ASSET MANAGEMENT, INC.

RIA

CRD#: 139595

Wenham, MA

Past

February 27, 2007 - November 4, 2008

GUGGENHEIM INVESTMENTS

RIA

CRD#: 129288

GROVELAND, MA

Past

February 26, 2007 - July 10, 2012

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

GROVELAND, MA

Past

November 21, 2002 - February 27, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PURCHASE, NY

Past

September 24, 2002 - February 27, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 12, 1999 - June 11, 2002

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/7/2021)

Alaska
(7/7/2021)

Arizona
(7/7/2021)

Arkansas
(7/7/2021)

California
(7/7/2021)

Colorado
(7/7/2021)

Connecticut
(7/7/2021)

Delaware
(7/7/2021)

District of Columbia
(7/7/2021)

Florida
(7/7/2021)

Georgia
(7/7/2021)

Hawaii
(7/7/2021)

Idaho
(7/7/2021)

Illinois
(7/7/2021)

Indiana
(7/7/2021)

Iowa
(7/7/2021)

Kansas
(7/7/2021)

Kentucky
(7/7/2021)

Louisiana
(7/7/2021)

Maine
(7/7/2021)

Maryland
(7/7/2021)

Massachusetts
(7/7/2021)

Michigan
(7/7/2021)

Minnesota
(7/7/2021)

Mississippi
(7/7/2021)

Missouri
(7/7/2021)

Montana
(7/7/2021)

Nebraska
(7/7/2021)

Nevada
(7/7/2021)

New Hampshire
(7/7/2021)

New Jersey
(7/7/2021)

New Mexico
(7/7/2021)

New York
(7/7/2021)

North Carolina
(7/7/2021)

North Dakota
(7/7/2021)

Ohio
(7/7/2021)

Oklahoma
(7/7/2021)

Oregon
(7/7/2021)

Pennsylvania
(7/7/2021)

Rhode Island
(7/7/2021)

South Carolina
(7/7/2021)

South Dakota
(7/7/2021)

Tennessee
(7/7/2021)

Texas
(7/7/2021)

Utah
(7/7/2021)

Vermont
(7/7/2021)

Virginia
(7/7/2021)

Washington
(7/7/2021)

West Virginia
(7/7/2021)

Wisconsin
(7/7/2021)

Wyoming
(7/7/2021)

Exams

State Security Law Exam

Series 63

Date: 9/9/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/10/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/2/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/12/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/13/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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

One Franklin Parkway, San Mateo, CA 94403

Mailing Address

1201 Wills Street, Baltimore, MD 21231

Phone number

(800) 632-2350

Established

Delaware since 12/01/2000

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

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.

Similar Advisors

John Valencia

LPL FINANCIAL LLC

IAR

LARGO, FL

Spiros Vassilakos

CSENGE ADVISORY GROUP, LLC

IAR

Tarpon Springs, FL

Lee Gorgas

CHARLES SCHWAB & CO., INC.

IAR

Tampa, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nathan A. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nathan Andrew Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

3D ASSET MANAGEMENT, INC.

GUGGENHEIM INVESTMENTS

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

INVESCO CAPITAL MARKETS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/9/2016

Series 65

Date: 9/10/2002

SIE

Date: 10/1/2018

Series 7

Date: 5/2/2000

Series 6

Date: 8/12/1999

Series 24

Date: 2/13/2019

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

Similar Advisors