Joshua J. Williams

SEEKER FINANCIAL LLC

Afton, WY 83110

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CRD#: 4967211

Professional summary

Joshua James Williams is a registered financial advisor currently at SEEKER FINANCIAL LLC located in Afton, Wyoming.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Joshua has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.

Yellowstone Teton Tax Service DBA H&R Block/ Non-Investment Related/ 988 S Highway 89, Jackson, WY 83001/ Tax Preparation/ Tax Specialist/ February 26, 2024/ 40 hours per week, from Feb through Tax Day

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua James 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

April 29, 2024 - Present

SEEKER FINANCIAL LLC

Office #1: 33 Mantua Meadows Ln, Afton, WY 83110

RIA

CRD#: 330481

Afton, WY

Past

September 28, 2022 - April 5, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

AFTON, WY

Past

August 30, 2022 - April 5, 2023

LPL FINANCIAL LLC

CRD#: 6413

AFTON, WY

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

Wyoming
(4/29/2024)

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 66

Date: 9/26/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/30/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/7/2022

Securities Industry Essentials Examination

Current Firm

SEEKER FINANCIAL LLC

CRD#: 330481 / SEC#:

Wyoming

Registered Investment Advisory firm - (4/25/2024 Approved)

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Contact information

Main Address

33 Mantua Meadows Ln, Afton, WY 83110

Mailing Address

Phone number

(901) 340-7515

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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

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Joshua J. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua James Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEEKER FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/26/2022

Series 7TO

Date: 8/30/2022

SIE

Date: 6/7/2022

Current Firm

SEEKER FINANCIAL LLC

Contact information

Documents

Red Flags

Company Information

SEEKER FINANCIAL LLC

TRUST BUT VERIFY

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