Jean C. 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.
Jean Carol Williams, who also goes by Jean Carol Way, Jean Way, Jean Carol Way Williams, was a registered financial professional .
Jean is a previously registered financial professional and started their career in finance in 1973. Jean had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 1, Series 53, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2017 - November 12, 2019
SUMMIT BROKERAGE SERVICES, INC.
June 22, 2017 - November 12, 2019
CETERA INVESTMENT SERVICES LLC
June 22, 2017 - November 12, 2019
CETERA FINANCIAL SPECIALISTS LLC
June 22, 2017 - November 12, 2019
CETERA ADVISORS LLC
May 31, 2016 - November 12, 2019
CETERA WEALTH SERVICES, LLC
October 15, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
September 28, 2000 - November 12, 2019
FIRST ALLIED SECURITIES, INC.
April 9, 1999 - October 26, 2000
D.E. FREY & COMPANY, INC.
December 9, 1994 - October 21, 1998
CHATFIELD DEAN & CO., INC.
August 24, 1993 - August 17, 1994
TAMARON INVESTMENTS, INC.
February 3, 1993 - August 31, 1993
CETERA ADVISORS LLC
July 17, 1992 - December 31, 1992
HANIFEN, IMHOFF INC.
January 15, 1992 - July 29, 1992
J. W. GANT & ASSOCIATES, INC.
May 17, 1991 - August 9, 1991
CHATFIELD DEAN & CO., INC.
October 10, 1988 - December 12, 1990
THE STUART-JAMES COMPANY, INCORPORATED
May 25, 1984 - June 12, 1987
WALL STREET WEST, INC.
March 24, 1980 - April 26, 1984
HANIFEN, IMHOFF INC.
April 24, 1975 - April 19, 1980
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 16, 1973 - October 29, 1975
FINANCIAL SERVICE CORPORATION OF AMERICA
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 5
Date: 11/21/1981
Interest Rate Options ExaminationSeries 1
Date: 11/12/1973
Registered Representative ExaminationSeries 40
Date: 11/4/1977
Registered Principal ExaminationCurrent Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
