Shawn F. 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 F Williams, who also goes by Shawn Francis 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 66, Series 63, SIE 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
April 7, 2018 - January 15, 2022
TD AMERITRADE, INC.
April 7, 2018 - January 15, 2022
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 7, 2018 - January 15, 2022
TD AMERITRADE, INC.
February 6, 2018 - April 7, 2018
SCOTTRADE INVESTMENT MANAGEMENT
November 7, 2005 - April 7, 2018
SCOTTRADE, INC.
January 29, 2003 - August 24, 2004
TD AMERITRADE CLEARING, INC.
June 30, 2001 - October 14, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
October 26, 1999 - June 30, 2001
ICAPITAL MARKETS 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
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
