Deborah Kay Williams
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Deborah Kay Pugh, Deborah Kay Williams, Deborah Kay Willison
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
NYLIFE SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
INDEPENDENCE CAPITAL CO., INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
NYLIFE SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
INDEPENDENCE CAPITAL CO., INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
NYLIFE SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
INDEPENDENCE CAPITAL CO., INC.
Disclosures on record.
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.
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
NYLIFE SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
INDEPENDENCE CAPITAL CO., INC.
Years of Experience
22 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
NYLIFE SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
INDEPENDENCE CAPITAL CO., INC.
Current Firm
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
Contact Information
Main Address
1717 Arch Street, Philadelphia, PA 19103Mailing Address
1717 Arch Street, Philadelphia, PA 19103Phone Number
(215) 665-6000Established
Delaware since 08/27/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
2,404SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | — |
| 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
243,808AUM (Assets Under Management)
$110,113,690,076Disclosures
Regulatory Event
54Arbitration
67Bond
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | Cover Page | Report |
| 03/21/2025 | Cover Page | Report |
| 10/09/2024 | Cover Page | Report |
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
NYLIFE SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
INDEPENDENCE CAPITAL CO., INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
NYLIFE SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
INDEPENDENCE CAPITAL CO., INC.
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
State Registrations and Notice Filings
(10/24/2024)
(10/24/2024)
(10/24/2024)
(10/24/2024)
(10/24/2024)
(4/28/2025)
(10/24/2024)
(10/24/2024)
(10/24/2024)
(10/24/2024)
(7/18/2025)
(3/13/2025)
(11/1/2024)
(10/24/2024)
(10/24/2024)
(10/24/2024)
(10/24/2024)
(10/24/2024)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2004About the Series 6 examSRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
NYLIFE SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
INDEPENDENCE CAPITAL CO., INC.
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).
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
NYLIFE SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
INDEPENDENCE CAPITAL CO., INC.