Kevin 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.
Kevin J Williams, who also goes by Kevin Jerrard Williams, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2006. Kevin had worked at 4 firms and has passed the Series 66, SIE, Series 56 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2016 - December 6, 2017
GREAT POINT CAPITAL LLC
November 30, 2015 - October 21, 2016
AVATAR SECURITIES, LLC
August 30, 2012 - December 5, 2012
WTS PROPRIETARY TRADING GROUP LLC
May 25, 2006 - June 19, 2006
WADDELL & REED
May 18, 2006 - June 19, 2006
WADDELL & REED
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 56
Date: 11/30/2015
Proprietary Trader Qualification ExaminationCurrent Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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.
