Eddie H. Williams

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CRD#: 4534374

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.

Eddie Harold Williams, who also goes by Eddie Harold Williams IV, was a registered financial professional .

Eddie is a previously registered financial professional and started their career in finance in 2002. Eddie had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Eddie Harold Williams Iv

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.

1.ANNEXUS HOLDINGS, LLC, NOT INVESTMENT-RELATED, 16767 N PERIMETER DRIVE, SUITE 320, SCOTTSDALE, AZ, 85260, INDEPENDENT DISTRIBUTOR OF LIFE AND HEALTH INSURANCE AND WEALTH MANAGEMENT SERVICES, EVP OF SALES, 08/2022, 160 HOURS PER MONTH DURING TRADING HOURS, DISTRIBUTION OF FIXED INDEX ANNUITY SALES. 2. ASHTON THOMAS PRIVATE WEALTH, LLC, INVESTMENT RELATED, 15279 N SCOTTSDALE ROAD, SUITE B2-215, SCOTTSDALE, AZ 85254, RIA, IAR, 01/02/2019, 1 DAY/MONTH DURING TRADING HOURS, INVESTMENT ADVISORY DUTIES.

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

January 4, 2019 - October 17, 2023

ASHTON THOMAS PRIVATE WEALTH

RIA

CRD#: 153902

Scottsdale, AZ

Past

May 26, 2017 - October 16, 2023

INTEGRITY CAPITAL, LLC

CRD#: 285198

SCOTTSDALE, AZ

Past

May 29, 2013 - January 5, 2017

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

SCOTTSDALE, AZ

Past

May 16, 2013 - January 5, 2017

USA FINANCIAL SECURITIES LLC

CRD#: 103857

SCOTTSDALE, AZ

Past

December 17, 2008 - June 21, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PHOENIX, AZ

Past

December 9, 2008 - June 21, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PHOENIX, AZ

Past

August 13, 2002 - December 11, 2008

EDWARD JONES

CRD#: 250

BULLHEAD CITY, AZ

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".

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

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.

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

State Security Law Exam

IAR

Series 66

Date: 4/26/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/16/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/2002

General Securities Representative Examination

Current Firm

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

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Contact information

Main Address

8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 732-4745

Established

Firm type

Fiscal year end

# of Employees

114

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (5/5/2025)

ADV PART 2A FIRM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts	6,733
AUM (Assets Under Management)	$ 4,051,333,740

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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Advisor Monitoring

Firm Stability Insights

Eddie H. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTEGRITY CAPITAL, LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

Primary Firm SEC Registration

ASHTON THOMAS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 4/26/2009

Series 63

Date: 8/16/2002

SIE

Date: 10/1/2018

Series 7

Date: 8/12/2002

Current Firm

ASHTON THOMAS PRIVATE WEALTH

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASHTON THOMAS PRIVATE WEALTH

TRUST BUT VERIFY

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