Harry G. 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.
Harry Gale Williams was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1972. Harry had worked at 9 firms and has passed the Series 65, Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2011 - July 18, 2014
AMERITAS INVESTMENT COMPANY, LLC
July 25, 2011 - July 18, 2014
AMERITAS INVESTMENT COMPANY, LLC
January 1, 2004 - July 26, 2011
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - July 26, 2011
VOYA FINANCIAL ADVISORS, INC.
February 15, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
March 21, 1996 - January 1, 2004
LOCUST STREET SECURITIES, INC.
February 18, 1992 - March 21, 1996
THE ADVISORS GROUP, INC.
October 5, 1989 - February 10, 1992
LONDON PACIFIC SECURITIES, INC.
January 18, 1985 - November 20, 1989
G. R. PHELPS & CO., INC.
August 31, 1983 - January 3, 1985
CETERA WEALTH SERVICES, LLC
November 8, 1978 - September 15, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
December 5, 1972 - November 10, 1978
ACACIA EQUITY SALES CORPORATION
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: 11/30/1972
Registered Representative ExaminationCurrent Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
