DW
Deborah K. Williams
JANNEY MONTGOMERY SCOTT LLC
Mansfield, OH 44907
Some features on this profile are disabled
CRD#: 4534223
DW
Professional summary
Deborah Kay Williams, who also goes by Deborah Kay Pugh, Deborah Kay Williams, Deborah Kay Willison, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Mansfield, Ohio.
Deborah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Deborah has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Deborah Kay Pugh | Deborah Kay Williams | Deborah Kay Willison
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.
Business Name: Kestra Advisory Services LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Rep Start Date: 8/19/2016 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Investment Advisor Rep Business Name: Personal Wealth Solutions Investment Related: Yes Address: 1230 Lexington Avenue, Suite 101 Mansfield OH 44907 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Representative Start Date: 2/26/2021 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Representative
CRS (Client Relationship Summary) - RIA
Click below to view Deborah Kay Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Deborah Kay Williams's 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®
NoneExperience
Current
October 24, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1230 Lexington Avenue, Mansfield, OH 44907RIA
BD
CRD#: 463
Mansfield, OH
Current
October 24, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1230 Lexington Avenue, Mansfield, OH 44907RIA
BD
CRD#: 463
Mansfield, OH
Past
September 9, 2016 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
MANSFIELD, OH
Past
September 9, 2016 - October 28, 2024
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Mansfield, OH
Past
September 9, 2016 - October 28, 2024
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
MANSFIELD, OH
Past
April 26, 2007 - September 13, 2016
EDWARD JONES
RIA
CRD#: 250
ONTARIO, OH
Past
February 6, 2007 - September 13, 2016
EDWARD JONES
BD
CRD#: 250
ONTARIO, OH
Past
April 30, 2004 - February 1, 2007
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, 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".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/24/2024)
RR
Arkansas(10/24/2024)
RR
California(10/24/2024)
RR
Colorado(10/24/2024)
RR
Florida(10/24/2024)
RR
Illinois(4/28/2025)
RR
Indiana(10/24/2024)
RR
Kansas(10/24/2024)
RR
Maryland(10/24/2024)
RR
Mississippi(10/24/2024)
RR
Montana(7/18/2025)
RR
New Hampshire(3/13/2025)
RR
North Carolina(11/1/2024)
RR
Ohio(10/24/2024)
IAR
Ohio(10/24/2024)
RR
South Carolina(10/24/2024)
RR
Tennessee(10/24/2024)
RR
Texas(10/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
