KW
Kevin S. Williams
CORMARK SECURITIES (USA) LIMITED
Toronto, M5J2J2
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CRD#: 4560326
KW
Professional summary
Kevin Sean Williams is a registered financial professional currently at CORMARK SECURITIES (USA) LIMITED .
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2003. Kevin has worked at 1 firm and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Kevin Sean 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
June 10, 2003 - Present
CORMARK SECURITIES (USA) LIMITED
Office #1: Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, M5J2J2BD
CRD#: 101000
Toronto,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
California(3/4/2019)
RR
Colorado(3/4/2019)
RR
Connecticut(3/4/2019)
RR
Florida(3/4/2019)
RR
Georgia(3/4/2019)
RR
Illinois(3/4/2019)
RR
Massachusetts(3/4/2019)
RR
New Jersey(5/13/2009)
RR
New York(3/4/2019)
RR
Pennsylvania(3/4/2019)
RR
Texas(3/4/2019)
RR
Utah(6/26/2024)
RR
Wisconsin(3/4/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 37
Date: 6/7/2003
Canada Module of the General Securities Registered Representative (With Options Questions)SRO Registrations
RR
FINRA
Current Firm
CS
CORMARK SECURITIES (USA) LIMITED
CORMARK SECURITIES (USA) LIMITED | SPROTT SECURITIES (USA) LIMITED
CRD#: 101000 / SEC#: , 8-52049
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, Ontario, M5J 2J2
Mailing Address
Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, Ontario, M5J 2J2
Phone number
(416) 362-7485
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (21 States and Territories)
Documents
Red Flags
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