John J. 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.
John Jackson Williams was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 19 firms and has passed the Series 65, Series 63, Series 5, Series 3, Series 15, PC, Series 000, Series 1, Series 53, Series 40 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - April 25, 2012
ALLIED BEACON PARTNERS, INC.
August 26, 1999 - December 31, 2008
ADVANCED PLANNING SECURITIES, INC.
January 5, 1999 - July 22, 1999
BISHOP, ROSEN & CO., INC.
April 18, 1997 - December 31, 1998
ALEXANDER, WESCOTT, & CO., INC.
September 11, 1995 - April 30, 1997
RENAISSANCE FINANCIAL SECURITIES CORP.
February 8, 1995 - August 4, 1995
FIRST MONTAUK SECURITIES CORP.
October 3, 1994 - February 23, 1995
MERIDIAN, DUNHILL & CO., INC.
July 1, 1993 - October 3, 1994
DUNHILL EQUITIES, INC.
March 2, 1990 - June 21, 1993
MORGAN STANLEY DW INC.
July 16, 1984 - March 20, 1990
PRUDENTIAL EQUITY GROUP, LLC
June 16, 1982 - July 24, 1984
JEFFERIES LLC
December 7, 1981 - May 11, 1982
PRUDENTIAL EQUITY GROUP, LLC
May 9, 1978 - December 27, 1981
THOMSON MCKINNON SECURITIES INC.
November 22, 1977 - November 19, 1983
LEHMAN BROTHERS INC.
November 9, 1977 - April 28, 1978
WHITE, WELD & CO. INCORPORATED
February 5, 1976 - November 22, 1977
FAULKNER, DAWKINS & SULLIVAN INC.
June 15, 1973 - March 5, 1976
REYNOLDS SECURITIES, INC.
July 19, 1972 - June 16, 1973
TUCKER ANTHONY INCORPORATED
April 10, 1972 - August 18, 1972
BUTLER CAPITAL CORPORATION
July 3, 1969 - March 24, 1972
CITIGROUP GLOBAL MARKETS 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 5
Date: 9/29/1987
Interest Rate Options ExaminationSeries 15
Date: 1/29/1985
Foreign Currency Options ExaminationPC
Date: 9/13/1977
AMEX Put and Call ExamSeries 000
Date: 10/31/1967
General Securities Principal ExaminationSeries 1
Date: 10/31/1967
Registered Representative ExaminationSeries 40
Date: 2/24/1978
Registered Principal ExaminationCurrent Firm
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| 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.
