Jimmie D. Williams

DISCIPLINA CAPITAL MANAGEMENT

NASHVILLE, TN 37203

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CRD#: 5083843

Professional summary

Jimmie Dale Williams II, who also goes by Duke Williams, Jimmie D Williams II, Jimmie D Williams, is a registered financial advisor currently at DISCIPLINA CAPITAL MANAGEMENT, LLC located in Nashville, Tennessee.

Jimmie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Jimmie has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Duke Williams | Jimmie D Williams Ii | Jimmie D Williams

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jimmie Dale Williams II's CRS (Customer Relationship Summary).

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

November 12, 2020 - Present

DISCIPLINA CAPITAL MANAGEMENT, LLC

Office #1: 21 Platform Way South 14th Floor, Nashville, TN 37203

RIA

CRD#: 167295

NASHVILLE, TN

Past

May 13, 2020 - October 30, 2020

AON SECURITIES LLC

CRD#: 4138

CHICAGO, IL

Past

November 2, 2018 - April 26, 2019

OSAIC WEALTH, INC.

CRD#: 23131

CARMEL, IN

Past

September 28, 2018 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

CARMEL, IN

Past

March 24, 2008 - July 9, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW ORLEANS, LA

Past

January 25, 2008 - July 9, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW ORLEANS, LA

Past

March 14, 2006 - January 30, 2008

EDWARD JONES

CRD#: 250

MOORESVILLE, NC

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".

DISCIPLINA CAPITAL MANAGEMENT, LLC

DISCIPLINA CAPITAL MANAGEMENT, LLC | DISCIPLINA GROUP, LLC

CRD#: 167295 / SEC#: 801-115108

RIA

Registered Investment Advisory firm - (4/29/2019 Approved)

Tennessee

Registered Investment Advisory firm - (5/14/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/14/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Louisiana
(11/24/2020)

IAR

Texas
(1/3/2024)

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 65

Date: 9/4/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/8/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 11/1/2011

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 8/30/2011

General Securities Sales Supervisor - General Module Examination

Current Firm

DISCIPLINA CAPITAL MANAGEMENT, LLC

DISCIPLINA CAPITAL MANAGEMENT, LLC | DISCIPLINA GROUP, LLC

CRD#: 167295 / SEC#: 801-115108

RIA

Registered Investment Advisory firm - (4/29/2019 Approved)

Tennessee

Registered Investment Advisory firm - (5/14/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/14/2019 Terminated)

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Contact information

Main Address

21 Platform Way South 14th Floor, Nashville, TN 37203

Mailing Address

Phone number

(615) 490-6003

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCIPLINA CAPITAL MANAGEMENT COMPLETE BROCHURE (6/4/2025)

Regulatory assets under management

Total Number of Accounts	51
AUM (Assets Under Management)	$ 2,377,934,667

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
01/22/2024	Cover Page	Report

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.

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Jimmie D. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jimmie Dale Williams II's CRS (Customer Relationship Summary).

Certified licenses

Experience

AON SECURITIES LLC

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

Primary Firm SEC Registration

DISCIPLINA CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/4/2020

Series 63

Date: 7/8/2020

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2018

Series 9

Date: 11/1/2011

Series 10

Date: 8/30/2011

Current Firm

DISCIPLINA CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DISCIPLINA CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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