Richard A. 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.
Richard A Williams, who also goes by Dick Williams, Richard Anthony Williams, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1965. Richard had worked at 12 firms and has passed the Series 65, Series 63, Series 41, Series 1, Series 4, Series 12 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
September 28, 2000 - September 16, 2014
MISSOURI VALLEY PARTNERS, INC.
October 17, 1990 - December 18, 1992
GS2 SECURITIES, INC.
September 8, 1989 - September 25, 1990
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 22, 1987 - September 13, 1989
THOMSON MCKINNON SECURITIES INC.
September 25, 1985 - January 15, 1988
E. F. HUTTON & COMPANY INC
June 8, 1983 - October 7, 1985
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 25, 1982 - June 28, 1983
UBS FINANCIAL SERVICES INC.
June 15, 1979 - February 17, 1982
MORGAN STANLEY DW INC.
January 29, 1979 - July 8, 1979
LEHMAN BROTHERS INC.
June 24, 1972 - January 26, 1979
REINHOLDT & GARDNER INCORPORATED
February 24, 1972 - July 24, 1974
STERN, FRANK, MEYER & FOX, INCORPORATED
August 19, 1971 - April 20, 1972
DUPONT GLORE FORGEN INC
March 15, 1965 - September 5, 1971
REYNOLDS SECURITIES, 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 41
Date: 12/16/1974
NYSE Allied Member ExaminationSeries 1
Date: 2/18/1963
Registered Representative ExaminationSeries 12
Date: 6/22/1979
NYSE Branch Manager ExaminationSeries 40
Date: 12/21/1974
Registered Principal ExaminationCurrent Firm
MISSOURI VALLEY PARTNERS, INC.
CRD#: 108497 / SEC#: 801-57966
Contact information
Red Flags
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