Douglas Scott Williams Jr
Professional Summary
Douglas Scott Williams JR, who also goes by Douglas S Williams, Douglas Scott Williams, Scotty Williams, is a registered financial advisor currently at FINALIS SECURITIES LLC located in San Francisco, California. Douglas is registered as a RR (Registered Representative) and started their career in finance in 2007. Douglas has worked at 3 firms and has passed the Series 63, Series 79TO, Series 82TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Douglas S Williams, Douglas Scott Williams, Scotty Williams
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
19 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC
Contact Information
Main Address
450 Lexington Ave, New York, NY 10017Mailing Address
228 Park Ave South Suite 85550, New York, NY 10003Phone Number
(800) 962-0418Established
Delaware since 09/10/2019Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(2/24/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Nov 2020About the Series 79TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Nov 2020About the Series 82TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Douglas Scott Williams JR's CRS (Customer Relationship Summary).
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