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CW

Carly A. Williams

FNEX CAPITAL
Indianapolis, IN 46204
Some features on this profile are disabled
CRD#: 5163703
CW

Professional summary

Carly Ann Williams, who also goes by Carly Williams Herrick, Carly Ann Herrick, Carly A Williams, Carly Ann Williams, is a registered financial professional currently at FNEX CAPITAL, LLC located in Indianapolis, Indiana.

Carly is registered as a RR (Registered Representative) and started their career in finance in 2007. Carly has worked at 4 firms and has passed the Series 63, Series 65, Series 82TO, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carly Williams Herrick | Carly Ann Herrick | Carly A Williams | Carly Ann 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) - BD

Click below to view Carly Ann Williams'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

June 5, 2025 - Present

FNEX CAPITAL, LLC

Office #1: One Indiana Square Suite 2252, Indianapolis, IN 46204
BD
CRD#: 166316
Indianapolis, IN
Past

September 16, 2020 - February 22, 2022

KAWA SECURITIES LLC

BD
CRD#: 307917
Aventura, FL
Past

August 29, 2017 - December 17, 2024

KAWA CAPITAL MANAGEMENT, INC.

RIA
CRD#: 157780
HALLANDALE BEACH, FL
Past

August 29, 2007 - March 29, 2012

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(6/6/2025)
RR
Indiana
(6/10/2025)
RR
New York
(6/8/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/8/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/28/2017
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 6/5/2025
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 3
Date: 2/11/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/28/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753
TEUFEL, FREDERICK CHARLESFINOP2092408

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.

Company Information

FNEX CAPITAL, LLC

CRD#: 166316Indianapolis, IN 46204

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