Daniel J. 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.
Daniel James Williams was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2000. Daniel had worked at 5 firms and has passed the Series 63, SIE, Series 7 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
May 3, 2018 - November 28, 2018
FINANCIAL TELESIS INC
March 7, 2014 - May 24, 2018
HOULIHAN LOKEY CAPITAL, INC.
January 18, 2013 - October 13, 2014
ARCHPOINT PARTNERS LLC
October 26, 2009 - November 13, 2013
FINANCIAL TELESIS INC
February 27, 2004 - August 30, 2010
MONTGOMERY & CO., LLC
March 23, 2000 - May 7, 2002
BROADVIEW INTERNATIONAL 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
FINANCIAL TELESIS INC
CRD#: 31012 / SEC#: 801-63974, 8-45304
Contact information
FINRA licenses (6 States and Territories)
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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