Charles W. 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.
Charles Wesley Williams, who also goes by Chuck Williams, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1992. Charles had worked at 15 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24, Series 10, Series 9 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2011 - June 4, 2012
MSC - BD, LLC
November 23, 2009 - August 19, 2010
WORLD GROUP SECURITIES, INC.
October 9, 2007 - September 2, 2009
MSC - BD, LLC
June 29, 2007 - October 3, 2007
ALLSTATE FINANCIAL SERVICES, LLC
June 14, 2007 - June 21, 2007
MSC - BD, LLC
October 3, 2006 - June 20, 2007
SECURITIES NETWORK LLC
February 21, 2006 - June 21, 2007
NAMCOA
January 26, 2006 - September 15, 2006
WOODSTOCK FINANCIAL GROUP, INC.
December 2, 2004 - August 15, 2005
USALLIANZ SECURITIES, INC.
June 4, 2003 - December 7, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 25, 2002 - June 4, 2003
HIGH MARK SECURITIES, INC.
April 14, 2000 - October 23, 2001
COREBRIDGE CAPITAL SERVICES, INC.
July 30, 1999 - December 21, 1999
TRANSAMERICA SECURITIES SALES CORPORATION
January 28, 1997 - December 15, 1998
WMA SECURITIES, INC.
March 22, 1996 - January 15, 1997
BISYS SHELF B/D (1), INC.
July 30, 1993 - January 23, 1996
KEYPORT FINANCIAL SERVICES CORP.
April 16, 1992 - December 31, 1992
PLANNED INVESTMENTS INC.
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
MSC - BD, LLC
CRD#: 142927 / SEC#: , 8-67511
Contact information
FINRA licenses (13 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
