DW
David G. Williams
WILLIAMS WEALTH MANAGEMENT
Los Angeles, CA 90017
Some features on this profile are disabled
CRD#: 4089527
DW
Professional summary
David George Williams, CFP®, who also goes by Dave Williams, is a registered financial advisor currently at WILLIAMS WEALTH MANAGEMENT, INC. located in Los Angeles, California.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. David has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave 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.
1) INSURANCE SALES
POSITION: life insurance agent with the general agency NATURE: INSURANCE INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2016
ADDRESS: Los Angeles CA 90017, United States
DESCRIPTION: AGENT
2) WILLIAMS WEALTH MANAGEMENT, INC (FORMALLY WILLIAMS WEALTHCARE PROVIDERS INC.)
POSITION: PRESIDENT NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 40 START DATE: 02/01/2002
ADDRESS: Los Angeles CA , United States
DESCRIPTION: ANALYSIS, CONSULTING, PREPARATION OF PERSONAL FINANCIAL PLANS AND INVESTMENT POLICY STATEMENTS
3) THE BARRY AND CLAUDIA POZNICK IRREVOCABLE TRUST - BP DATED 2/18/2011
POSITION: TRUSTEE NATURE: TRUST INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/18/2011
ADDRESS: Los Angeles CA , United States
DESCRIPTION: TRUSTEE UNDER TERMS OF TRUST DTD 2/18/11
4) THE Q. SPECIAL TRUST DATED 5.31.04
POSITION: TRUSTEE NATURE: TRUST INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/31/2004
ADDRESS: Los Angeles CA , United States
DESCRIPTION: Give annual notice to trustors to gift funds to the trust to pay the annual life insurance premiums; process the premium payments
5) VICTOR GRUBER TRUST
POSITION: TRUSTEE NATURE: Trustee of client's irrevocable life insurance trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2001
ADDRESS: Los Angeles CA , United States
DESCRIPTION: Minimal administrative assistance once per year - total compensation per year about $400
CRS (Client Relationship Summary) - RIA
Click below to view David George Williams's 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®
CFP®
Start date: 2012
Experience
Current
December 7, 2006 - Present
WILLIAMS WEALTH MANAGEMENT, INC.
Office #1: 1000 Wilshire Blvd Suite 1650, Los Angeles, CA 90017RIA
CRD#: 133335
Los Angeles, CA
Past
October 30, 2001 - November 8, 2017
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
LOS ANGELES, CA
Past
March 28, 2000 - November 8, 2017
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
LOS ANGELES, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(12/7/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WW
WILLIAMS WEALTH MANAGEMENT, INC.
WILLIAMS WEALTH MANAGEMENT, INC. | WILLIAMS WEALTHCARE PROVIDERS, INC
CRD#: 133335 / SEC#:
California
Registered Investment Advisory firm - (3/28/2002 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1000 Wilshire Blvd Suite 1650, Los Angeles, CA 90017
Mailing Address
Phone number
(213) 488-0300
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 71,856,965 |
Red Flags
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