David H. Williams

WILLIAMS CAPITAL MANAGEMENT COMPANY

WILMETTE, IL 60091

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CRD#: 4374911

Professional summary

David H Williams is a registered financial advisor currently at WILLIAMS CAPITAL MANAGEMENT COMPANY located in Wilmette, Illinois.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. David has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view David H Williams's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 6, 1998 - Present

WILLIAMS CAPITAL MANAGEMENT COMPANY

Office #1: 825 Green Bay Road Suite 220, Wilmette, IL 60091

RIA

CRD#: 109412

WILMETTE, IL

Past

February 6, 1998 - December 31, 2002

WILLIAMS CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 109412

WILMETTE, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WILLIAMS CAPITAL MANAGEMENT COMPANY

CRD#: 109412 / SEC#: 801-126381

RIA

Registered Investment Advisory firm - (8/12/2022 Approved)

Illinois

Registered Investment Advisory firm - (10/18/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(2/6/1998)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

WILLIAMS CAPITAL MANAGEMENT COMPANY

CRD#: 109412 / SEC#: 801-126381

RIA

Registered Investment Advisory firm - (8/12/2022 Approved)

Illinois

Registered Investment Advisory firm - (10/18/2022 Terminated)

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Contact information

Main Address

825 Green Bay Road Suite 220, Wilmette, IL 60091

Mailing Address

Phone number

(847) 256-5565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART II BROCHURE, UPDATED JANUARY 1, 2025 (3/17/2025)

Regulatory assets under management

Total Number of Accounts	37
AUM (Assets Under Management)	$ 136,078,778

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.

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David H. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David H Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

WILLIAMS CAPITAL MANAGEMENT COMPANY

WILLIAMS CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

WILLIAMS CAPITAL MANAGEMENT COMPANY

State Registrations and Notice Filings

Exams

Current Firm

WILLIAMS CAPITAL MANAGEMENT COMPANY

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WILLIAMS CAPITAL MANAGEMENT COMPANY

TRUST BUT VERIFY

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