Craig E. 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.
Craig Edward Williams was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1999. Craig had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2012 - February 19, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 18, 2012 - February 19, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 9, 2010 - April 16, 2012
SEIA
March 16, 2009 - April 12, 2012
SIGNATOR INVESTORS, INC.
November 16, 2006 - March 18, 2008
STRATEGIC ADVISERS LLC
December 20, 1999 - March 18, 2008
FIDELITY BROKERAGE SERVICES 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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