Herbert R. 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.
Herbert Russell Williams, who also goes by Herb Russell Williams, Herb Williams, Herbert Williams, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1996. Herbert had worked at 8 firms and has passed the Series 63, Series 6 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
April 3, 2012 - July 24, 2013
ALLSTATE FINANCIAL SERVICES, LLC
January 20, 2011 - July 12, 2011
THE LEADERS GROUP, INC.
May 8, 2009 - November 4, 2010
ALLSTATE FINANCIAL SERVICES, LLC
September 22, 2005 - April 27, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
April 8, 2004 - September 1, 2005
ALLSTATE FINANCIAL SERVICES, LLC
October 28, 2003 - April 15, 2004
HIGH MARK SECURITIES, INC.
May 23, 2003 - December 31, 2003
EQUITY SERVICES, INC.
April 20, 2000 - May 5, 2003
USALLIANZ SECURITIES, INC.
July 15, 1999 - April 27, 2000
INVESTORS CAPITAL CORP.
March 31, 1999 - July 15, 1999
LOCUST STREET SECURITIES, INC.
January 2, 1996 - January 29, 1999
EQUITY SERVICES, 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: 1/27/1973
Registered Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
