Scott S. Williams

S. WILLIAMS CAPITAL

New York, NY 10018

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CRD#: 4586367

Professional summary

Scott Spencer Williams is a registered financial advisor currently at S. WILLIAMS CAPITAL, LLC located in New York, New York.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Scott has worked at 3 firms and has passed the Series 63, Series 7 and Series 55 exams.

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 Scott Spencer 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

March 3, 2025 - Present

S. WILLIAMS CAPITAL, LLC

Office #1: 5 West 37th Street 6th Floor, New York, NY 10018

RIA

CRD#: 173204

New York, NY

Past

April 21, 2017 - January 23, 2025

S. WILLIAMS CAPITAL, LLC

RIA

CRD#: 173204

NEW YORK, NY

Past

September 19, 2010 - April 17, 2012

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

December 10, 2002 - May 23, 2007

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

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".

S. WILLIAMS CAPITAL, LLC

CRD#: 173204 / SEC#: 801-131673

RIA

Registered Investment Advisory firm - (1/2/2025 Approved)

Georgia

Registered Investment Advisory firm - (1/23/2025 Terminated)

New York

Registered Investment Advisory firm - (1/3/2025 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

Georgia
(3/24/2025)

IAR

New York
(3/3/2025)

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

Series 63

Date: 12/7/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/17/2010

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 5/6/2003

Limited Representative-Equity Trader Exam

Current Firm

S. WILLIAMS CAPITAL, LLC

CRD#: 173204 / SEC#: 801-131673

RIA

Registered Investment Advisory firm - (1/2/2025 Approved)

Georgia

Registered Investment Advisory firm - (1/23/2025 Terminated)

New York

Registered Investment Advisory firm - (1/3/2025 Terminated)

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Contact information

Main Address

5 West 37th Street 6th Floor, New York, NY 10018

Mailing Address

Phone number

(646) 375-5325

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/28/2025)

Regulatory assets under management

Total Number of Accounts	18
AUM (Assets Under Management)	$ 27,653,293

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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Scott S. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Spencer Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

S. WILLIAMS CAPITAL, LLC

S. WILLIAMS CAPITAL, LLC

CANTOR FITZGERALD & CO.

UBS SECURITIES LLC

Primary Firm SEC Registration

S. WILLIAMS CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/7/2010

Series 7

Date: 9/17/2010

Series 55

Date: 5/6/2003

Current Firm

S. WILLIAMS CAPITAL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

S. WILLIAMS CAPITAL, LLC

TRUST BUT VERIFY

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