James 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.
James Lee Williams was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 5 firms and has passed the 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
April 6, 1989 - June 2, 1989
ADAMS SECURITIES, INC.
December 18, 1986 - April 17, 1989
HAMILTON, WILLIAMS & CO., INC.
May 24, 1985 - December 22, 1986
GREENFIELD/CAMPBELL, INC.
August 25, 1984 - June 28, 1985
FIRST UNION SECURITIES INC
February 25, 1983 - July 16, 1984
GREENFIELD/CAMPBELL, INC.
December 6, 1981 - January 18, 1983
OMEGA NORTHWEST, 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: 4/14/1972
Registered Representative ExaminationCurrent Firm
ADAMS SECURITIES, INC.
CRD#: 16688 / SEC#: , 8-36609
Contact information
Documents
Red Flags
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