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Rashaun L. Williams

Some features on this profile are disabled
CRD#: 4287549
RW

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.

Rashaun Lamar Williams, who also goes by Rashaun L Williams, was a registered financial professional .

Rashaun is a previously registered financial professional and started their career in finance in 2001. Rashaun had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rashaun L 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 13, 2017 - January 14, 2021

VNTR SECURITIES LLC

BD
CRD#: 283856
New York, NY
Past

August 18, 2016 - November 21, 2016

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
Chicago, IL
Past

June 3, 2016 - August 19, 2016

IMS SECURITIES, INC.

BD
CRD#: 35567
Chicago, IL
Past

July 30, 2015 - December 28, 2015

BURNHAM SECURITIES INC.

BD
CRD#: 22549
IRVINE, CA
Past

January 15, 2015 - May 26, 2016

BONWICK CAPITAL PARTNERS, LLC

BD
CRD#: 156469
LOS ANGELES, CA
Past

August 17, 2012 - May 19, 2014

MUTUAL SECURITIES, INC.

BD
CRD#: 13092
LOS ANGLES, CA
Past

April 30, 2012 - August 13, 2012

CAROLINA CAPITAL MARKETS, INC.

BD
CRD#: 38156
CHAPEL HILL, NC
Past

May 11, 2010 - April 27, 2012

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

June 9, 2009 - May 14, 2010

CAROLINA CAPITAL MARKETS, INC.

BD
CRD#: 38156
CHAPEL HILL, NC
Past

August 9, 2004 - April 28, 2009

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHICAGO, IL
Past

September 3, 2003 - August 2, 2004

THE WILLIAMS CAPITAL GROUP, L.P.

BD
CRD#: 35149
NEW YORK, NY
Past

October 17, 2001 - September 3, 2003

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/27/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/8/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/6/2013
General Securities Principal Examination

Current Firm

VS
VNTR SECURITIES LLC
VNTR SECURITIES LLC

CRD#: 283856 / SEC#: , 8-69768

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
152 Madison Avenue 7th Floor, New York, NY, 10016
Mailing Address
152 Madison Avenue 7th, New York, NY, 10016
Phone number
(347) 284-0110
Established
Delaware since 04/11/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MANHATTAN VENTURE HOLDINGS LLCDIRECT OWNER
BRACHFELD, ERIC LOUISCEO/CCO2297883
NIXON, JON ALANFINOP4710715

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.

Company Information

VNTR SECURITIES LLC

CRD#: 283856

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