Sydney M. 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.
Sydney Messer Williams III, who also goes by Sydney M Williams, Sydney Messr Williams, was a registered financial professional .
Sydney is a previously registered financial professional and started their career in finance in 1968. Sydney had worked at 9 firms and has passed the Series 63, Series 3, Series 000, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1993 - September 10, 2014
MONNESS CRESPI HARDT & CO., INC.
January 8, 1992 - August 18, 1992
INTESA SANPAOLO IMI SECURITIES CORP.
May 27, 1980 - February 4, 1992
SALOMON BROTHERS INC.
December 27, 1979 - June 16, 1980
MORGAN STANLEY DW INC.
July 20, 1977 - December 23, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
August 10, 1976 - August 9, 1977
SCHRODER & CO. INC.
June 14, 1976 - August 29, 1976
HALCYON SECURITIES, INC.
February 5, 1971 - June 25, 1976
MONNESS, WILLIAMS & SIDEL
March 12, 1968 - March 2, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 000
Date: 3/8/1968
General Securities Principal ExaminationSeries 1
Date: 3/8/1968
Registered Representative ExaminationSeries 00
Date: 8/26/1974
General Securities Principal ExaminationCurrent Firm
MONNESS CRESPI HARDT & CO., INC.
CRD#: 7424 / SEC#: , 8-21380
Contact information
FINRA licenses (14 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
