Wallace W. 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.
Wallace Wellington Williams, who also goes by Wallace Williams Jr, Wally Williams Jr, was a registered financial professional .
Wallace is a previously registered financial professional and started their career in finance in 1972. Wallace had worked at 6 firms and has passed the Series 63, Series 65 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 1984 - December 10, 2012
INVESTORS SECURITY COMPANY, INC.
May 6, 1977 - July 20, 1984
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
June 14, 1974 - April 7, 1978
LINSLY & COMPANY
July 19, 1973 - June 5, 1977
CONFERENCE CONCEPTS, INC.
March 14, 1973 - July 7, 1973
EQUITY FUNDING SECURITIES CORP
August 8, 1972 - March 30, 1973
CAPITAL DEVELOPMENT ASSOCIATES, 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 1
Date: 8/2/1972
Registered Representative ExaminationCurrent Firm
INVESTORS SECURITY COMPANY, INC.
CRD#: 2331 / SEC#: 801-57968, 8-12111
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLOWAY, CHRISTOPHER MATTHEW | PRESIDENT/CHIEF COMPLIANCE OFFICER | 3124769 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
| Bond | 1 |
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.
