Dean L. Williams
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.
Dean Louis Williams was a registered financial advisor .
Dean is a previously registered financial advisor and started their career in finance in 1970. Dean had worked at 9 firms and has passed the Series 66, Series 63, Series 1, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2008 - December 31, 2011
SUMMIT FINANCIAL GROUP INC
February 3, 2003 - December 31, 2011
SUMMIT BROKERAGE SERVICES, INC.
January 2, 2001 - February 18, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 3, 1994 - January 2, 2001
JWGENESIS SECURITIES, INC.
August 22, 1988 - January 3, 1994
JW GENESIS CLEARING CORP.
February 1, 1988 - September 14, 1988
UBS FINANCIAL SERVICES INC.
April 14, 1987 - February 4, 1988
THE PINNACLE GROUP, INC.
September 5, 1972 - May 1, 1987
E. F. HUTTON & COMPANY INC
September 11, 1970 - September 22, 1972
HAYDEN STONE INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 5/5/1969
Registered Representative ExaminationSeries 12
Date: 9/1/1977
NYSE Branch Manager ExaminationCurrent Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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