Frank D. 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.
Frank David Williams, who also goes by Dave Williams, F David Williams, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1973. Frank had worked at 10 firms and has passed the Series 65 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2016 - December 31, 2017
F. D. WILLIAMS & ASSOCIATES, LLC
September 19, 2006 - January 10, 2011
NATIONAL PLANNING CORPORATION
October 17, 2000 - September 19, 2006
WALNUT STREET SECURITIES, INC.
December 17, 1993 - September 29, 2000
CETERA WEALTH SERVICES, LLC
June 19, 1990 - November 23, 1993
JOHN HANCOCK DISTRIBUTORS LLC
March 23, 1990 - May 4, 1990
OPPENHEIMER & CO. INC.
December 23, 1988 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
January 2, 1980 - December 23, 1988
MORISON SECURITIES, INC.
August 1, 1978 - January 17, 1980
PLANNERS FINANCIAL SERVICES, INC.
July 23, 1973 - August 6, 1978
LINSCO FINANCIAL GROUP, 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: 7/12/1973
Registered Representative ExaminationCurrent Firm
F. D. WILLIAMS & ASSOCIATES, LLC
CRD#: 155900 / SEC#:
Contact information
Red Flags
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