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JW

Johnny A. Williams

CHARLOTTE, NC
Some features on this profile are disabled
CRD#: 4941443
JW
Johnny Arthur Williams

Professional summary

Johnny Arthur Williams, CFP®, who also goes by Johnny Arthur Williams III, Jr Williams, Johnny Arthur Williams III, was a registered financial advisor .

Johnny is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Johnny had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.

At a Glance

Always Fiduciary

Aliases

Johnny Arthur Williams Iii | Jr Williams | Johnny Arthur Williams Iii

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.
Rental Property; Investment Related - Yes; Charlotte, NC; Real Estate; Sole Proprietor/Owner (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); Nov 2006; During Business Hours: 0; After Business Hours: 1; Property Manager. Ally Invest Securities LLC. Investment related. 601 N Tryon St Charlotte, NC 28202. Director. 04/2023. Support both Ally Invest Securities and Ally Invest Advisors in a dually licensed capacity. Responsibilities include servicing customers who may hold self-directed or advisors accounts. 0-20 hours per month.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

Certified Financial Planner

Experience

Current

August 31, 2026 - Present

CHARLOTTE, NC
Past

May 12, 2023 - August 31, 2026

ALLY INVEST ADVISORS

RIA
CRD#: 170301
CHARLOTTE, NC
Past

May 12, 2023 - August 31, 2026

ALLY INVEST SECURITIES LLC

BD
CRD#: 136131
Charlotte, NC
Past

February 24, 2020 - May 12, 2023

MORGAN STANLEY

RIA
CRD#: 149777
Columbia, SC
Past

February 24, 2020 - May 12, 2023

MORGAN STANLEY

BD
CRD#: 149777
Columbia, SC
Past

March 26, 2015 - February 26, 2020

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

March 26, 2015 - February 26, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

February 12, 2013 - March 19, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WINSTON-SALEM, NC
Past

February 12, 2013 - March 19, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WINSTON-SALEM, NC
Past

June 1, 2009 - February 27, 2013

MORGAN STANLEY

RIA
CRD#: 149777
WINSTON-SALEM, NC
Past

June 1, 2009 - February 27, 2013

MORGAN STANLEY

BD
CRD#: 149777
WINSTON-SALEM, NC
Past

August 23, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
COLUMBIA, SC
Past

May 17, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
COLUMBIA, SC

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
North Carolina
(8/31/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/17/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/2/2006
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/3/2006
General Securities Sales Supervisor - General Module Examination

Current firm

No current employment

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.

Company Information

No current employment

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