Mako 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.
Mako Williams, who also goes by Mako Ailene Goss, Mako Ailene Williams, was a registered financial professional .
Mako is a previously registered financial professional and started their career in finance in 2000. Mako had worked at 2 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2004 - December 31, 2014
AMERICAN WEALTH MANAGEMENT, INC.
July 8, 2004 - September 22, 2010
AMERICAN WEALTH MANAGEMENT, INC.
April 17, 2003 - July 12, 2004
CITIGROUP GLOBAL MARKETS INC.
September 11, 2000 - July 12, 2004
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
AMERICAN WEALTH MANAGEMENT, INC.
CRD#: 25536 / SEC#: 801-66163, 8-41807
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
AMERICAN WEALTH MANAGEMENT, INC.
CRD#: 25536 / SEC#: 801-66163, 8-41807
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,219 |
| AUM (Assets Under Management) | $ 309,865,000 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
