Brian C. 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.
Brian Christopher Williams was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2015 - April 5, 2016
KMS FINANCIAL SERVICES, INC.
April 22, 2015 - April 5, 2016
KMS FINANCIAL SERVICES, INC.
April 18, 2011 - May 6, 2013
U.S. BANCORP ADVISORS, LLC
April 18, 2011 - May 6, 2013
U.S. BANCORP ADVISORS, LLC
May 10, 2010 - November 3, 2010
SIGNATOR FINANCIAL SERVICES, INC.
May 10, 2010 - November 3, 2010
SIGNATOR FINANCIAL SERVICES, INC.
October 23, 2009 - May 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - May 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 1, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 27, 2005 - November 1, 2007
JOHN HANCOCK DISTRIBUTORS LLC
January 11, 2002 - September 12, 2005
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
July 2, 2001 - December 10, 2001
NATIONAL PLANNING CORPORATION
January 7, 2000 - March 13, 2001
LUTHERAN BROTHERHOOD SECURITIES CORP.
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
