Rebecca H. 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.
Rebecca Hope Williams, who also goes by Becca Hope Williams, Becky Hope Williams, Rebecca Williams, was a registered financial professional .
Rebecca is a previously registered financial professional and started their career in finance in 2009. Rebecca had worked at 4 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2014 - April 9, 2015
IRONWOOD FINANCIAL, LLC
January 2, 2014 - September 4, 2014
NEXT FINANCIAL GROUP, INC.
March 7, 2013 - November 4, 2013
VOYA FINANCIAL ADVISORS, INC.
January 2, 2013 - November 4, 2013
VOYA FINANCIAL ADVISORS, INC.
January 9, 2009 - December 6, 2012
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
IRONWOOD FINANCIAL, LLC
CRD#: 151004 / SEC#: 801-70463
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
IRONWOOD FINANCIAL, LLC
CRD#: 151004 / SEC#: 801-70463
Contact information
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,667 |
| AUM (Assets Under Management) | $ 574,853,371 |
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.
