Stephen R. Williams
Professional summary
Stephen Robert Williams was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Stephen had worked at 3 firms, which includes STRATEGIC WEALTH MANAGEMENT LLC, LPL FINANCIAL LLC, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2018 - December 31, 2019
STRATEGIC WEALTH MANAGEMENT, LLC
September 28, 2004 - October 27, 2017
LPL FINANCIAL LLC
May 21, 2004 - October 27, 2017
LPL FINANCIAL LLC
January 2, 2001 - May 26, 2004
EDWARD JONES
State Registrations and Notice Filings
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Exams
Current Firm
STRATEGIC WEALTH MANAGEMENT, LLC
CRD#: 292710 / SEC#:
Contact information
Red Flags
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