JW
Joel W. Williams
SPC
HEATH, TX 75032
Some features on this profile are disabled
CRD#: 4856379
JW
Professional summary
Joel Wayne Williams is a registered financial advisor currently at SPC located in Heath, Texas and SIGMA FINANCIAL CORPORATION located in Heath, Texas.
Joel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Joel has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
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.
1. SELL VARIOUS INSURANCE PRODUCTS WITH VARIOUS INSURANCE COMPANIES. 2. Commercial P&C - sales only, marketing and sales calls on potential clients. Start date: 11/1/16, approx. 40 hrs/mo. with 75% during market hours. 3. Van's Kitchen, Dallas, TX. Providing general accounting services and preparing financial statements for company. Start date: 12/1/23, approx. 60 hrs/mo, 50% during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Joel Wayne 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®
NoneExperience
Current
November 22, 2013 - Present
SPC
Office #1: 6730 Horizon Rd Suite A, Heath, TX 75032RIA
CRD#: 110692
HEATH, TX
Current
November 22, 2013 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 6730 Horizon Rd Suite A, Heath, TX 75032BD
CRD#: 14303
Heath, TX
Past
March 4, 2008 - December 2, 2013
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ADDISON, TX
Past
January 14, 2008 - December 2, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ADDISON, TX
Past
January 11, 2005 - December 3, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
RICHARDSON, TX
Past
January 1, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 1, 2005 - December 3, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
RICHARDSON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Texas(11/22/2013)
IAR
Texas(11/22/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SPC
CRD#: 110692Heath, TX 75032TRUST BUT VERIFY
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