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KW

Keishaun E. Williams

Some features on this profile are disabled
CRD#: 4300381
KW

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.

Keishaun Erik Williams, who also goes by K Erik Williams, Keishaun Williams, was a registered financial professional .

Keishaun is a previously registered financial professional and started their career in finance in 2002. Keishaun had worked at 8 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

K Erik Williams | Keishaun 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

June 16, 2010 - September 22, 2011

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

February 4, 2010 - June 30, 2010

SPARTAN CAPITAL SECURITIES, LLC

BD
CRD#: 146251
NEW YORK, NY
Past

March 12, 2007 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

March 12, 2007 - July 14, 2008

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
NEW YORK, NY
Past

April 6, 2005 - February 16, 2007

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

March 9, 2005 - April 1, 2005

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
BOCA RATON, FL
Past

January 29, 2004 - August 11, 2004

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

October 29, 2002 - January 29, 2004

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, 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: 4/15/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/28/2002
General Securities Representative Examination

Current Firm

JT
JOHN THOMAS FINANCIAL
GOTHAM LAWRENCE CORPORATION | LAWRENCE MARKETING, INC. | JOHN THOMAS FINANCIAL

CRD#: 40982 / SEC#: , 8-49254

BD
Terminated by SEC on 09/06/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/20/1996
Firm type
Corporation
Fiscal year end
May
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CASTELLANO, JOSEPH LOUISCHIEF COMPLIANCE OFFICER1158479

Disclosures

Regulatory Event11
Arbitration18

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

JOHN THOMAS FINANCIAL

CRD#: 40982

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