Jonathan S. Williams
Professional summary
Jonathan Spencer Williams was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jonathan is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Jonathan had worked at 4 firms, which includes EAGLE STRATEGIES LLC, NYLIFE SECURITIES LLC, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2006 - April 24, 2015
EAGLE STRATEGIES LLC
February 10, 2006 - April 24, 2015
NYLIFE SECURITIES LLC
February 8, 2000 - January 31, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
February 2, 2000 - January 31, 2006
IDS LIFE INSURANCE COMPANY
February 2, 2000 - January 31, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
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