Shawn 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.
Shawn Williams, who also goes by Shawn D Williams, Shawn Deon Williams, was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2006. Shawn had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2019 - December 17, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2019 - June 26, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2019 - December 17, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 2015 - July 3, 2019
WELLS FARGO CLEARING SERVICES, LLC
November 25, 2015 - July 3, 2019
WELLS FARGO CLEARING SERVICES, LLC
February 14, 2013 - November 19, 2015
PNC WEALTH MANAGEMENT LLC
February 14, 2013 - November 19, 2015
PNC WEALTH MANAGEMENT LLC
January 3, 2011 - February 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - February 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
November 23, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 19, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 10, 2007 - October 28, 2010
WELLS FARGO CLEARING SERVICES, LLC
August 10, 2007 - October 28, 2010
WELLS FARGO CLEARING SERVICES, LLC
September 25, 2006 - June 26, 2007
CITIGROUP GLOBAL MARKETS INC.
June 22, 2006 - June 26, 2007
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
