Traci K. Williams

WRWCO

Houston, TX

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CRD#: 4816617

Professional summary

Traci Kristine Williams is a registered financial advisor currently at WRWCO, LLC located in Houston, Texas.

Traci is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Traci has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Traci Kristine Williams's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 18, 2004 - Present

WRWCO, LLC

RIA

CRD#: 113665

Houston, TX

Past

November 18, 2004 - July 10, 2012

WRWCO, LLC

RIA

CRD#: 113665

HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(11/18/2004)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/17/2004

Uniform Investment Adviser Law Examination

Current Firm

WRWCO, LLC

WRWCO INVESTMENT ADVISORS | WRWCO, LLC

CRD#: 113665 / SEC#: 801-64163

RIA

Registered Investment Advisory firm - (7/10/2012 Terminated)

Texas

Registered Investment Advisory firm - (7/3/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Houston, TX

Mailing Address

P O Box 925798, Houston, TX 77292-5798

Phone number

(713) 681-9305

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 98,079,512

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Traci K. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Traci Kristine Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

WRWCO, LLC

WRWCO, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/2004

Current Firm

WRWCO, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WRWCO, LLC

TRUST BUT VERIFY

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