Joseph M. Williams
Professional summary
Joseph Michael Williams SR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Joseph had worked at 6 firms, which includes J.P. TURNER & COMPANY L.L.C., SCHNEIDER SECURITIES INC., WORLD FINANCIAL SERVICES INC., UNDERHILL ASSOCIATES INCORPORATED, BLYTH EASTMAN DILLON & CO. INCORPORATED, HAVENFIELD CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2002 - September 24, 2015
J.P. TURNER & COMPANY, L.L.C.
November 12, 1998 - September 30, 2002
SCHNEIDER SECURITIES, INC.
December 12, 1986 - November 11, 1998
WORLD FINANCIAL SERVICES, INC.
April 10, 1978 - November 6, 1986
UNDERHILL ASSOCIATES, INCORPORATED
December 1, 1972 - August 26, 1977
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 18, 1970 - December 12, 1972
HAVENFIELD 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: 1/26/1970
Registered Representative ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
