Arthur T. 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.
Arthur Travis Williams, who also goes by A. Travis Williams, Arthur T. Williams, Travis Arthur Williams, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 2004. Arthur had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2012 - December 19, 2016
INVESCO ADVISERS, INC.
October 2, 2012 - December 19, 2016
INVESCO DISTRIBUTORS, INC.
July 13, 2009 - September 11, 2012
STEPHENS
July 8, 2009 - September 11, 2012
STEPHENS
October 12, 2004 - April 20, 2009
WASATCH ADVISORS LP
August 4, 2004 - April 27, 2009
ALPS DISTRIBUTORS, INC.
Primary Firm SEC Registration
INVESCO ADVISERS, INC.
CRD#: 105360 / SEC#: 801-33949
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
Current Firm
INVESCO ADVISERS, INC.
CRD#: 105360 / SEC#: 801-33949
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 10/27/2023 |
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.
