George A. Williams
Professional summary
George Alan Williams, who also goes by George Williams, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
George is registered as a RR (Registered Representative) and started their career in finance in 2006. George has worked at 8 firms and has passed the Series 65, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view George Alan Williams's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2025 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917February 4, 2019 - July 21, 2020
STRATEGIC FINANCIAL CONCEPTS, LLC
October 6, 2015 - March 25, 2019
LPL FINANCIAL LLC
October 1, 2015 - December 18, 2020
LPL FINANCIAL LLC
January 2, 2015 - May 6, 2015
MSI FINANCIAL SERVICES, INC.
January 2, 2015 - May 6, 2015
MSI FINANCIAL SERVICES, INC.
April 26, 2011 - January 2, 2015
NEW ENGLAND SECURITIES
March 24, 2011 - January 2, 2015
NEW ENGLAND SECURITIES
August 28, 2007 - May 21, 2010
CHASE INVESTMENT SERVICES CORP.
August 28, 2007 - May 21, 2010
CHASE INVESTMENT SERVICES CORP.
July 20, 2007 - August 29, 2007
EDWARD JONES
July 13, 2007 - August 29, 2007
EDWARD JONES
July 28, 2006 - July 18, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
July 7, 2006 - July 18, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 7TO
Date: 1/2/2024
General Securities Representative ExaminationFINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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