Matt A. Williams

WILLIAMS FINANCIAL GROUP

Mobile, AL 36606

Some features on this profile are disabled

CRD#: 5188305

Professional summary

Matt Andrew Williams, CFP®, CLU® is a registered financial advisor currently at WILLIAMS FINANCIAL GROUP located in Mobile, Alabama.

Matt is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Matt has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

INDEPENDENT INSURANCE AGENT; INVESTMENT RELATED; 2019; APPROXIMATELY 20 HOURS/MO DURING TRADING HOURS; SALES AND REVIEW OF INSURANCE PRODUCTS. DIRECTOR OF THE LEGACY FOUNDATION COTTAGE HILLS BAPTIST CHURCH; NOT INVESTMENT RELATED; 2025; APPROXIMATELY 1 HOUR/MO.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matt Andrew 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®

CFP^®

Certified Financial Planner

Start date: 2021

CLU^®

Chartered Life Underwriter

Experience

Current

September 4, 2020 - Present

WILLIAMS FINANCIAL GROUP

Office #1: 2616-a Dauphin Street, Mobile, AL 36606

RIA

CRD#: 310008

Mobile, AL

Past

February 1, 2019 - September 28, 2020

APTUS CAPITAL ADVISORS, LLC

RIA

CRD#: 167626

MOBILE, AL

Past

December 7, 2009 - February 7, 2019

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

MOBILE, AL

Past

March 23, 2007 - February 7, 2019

NYLIFE SECURITIES LLC

CRD#: 5167

MOBILE, AL

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".

WILLIAMS FINANCIAL GROUP

WFG CAPITAL ADVISORS, LLC | WILLIAMS FINANCIAL GROUP

CRD#: 310008 / SEC#: 801-119410

RIA

Registered Investment Advisory firm - (9/4/2020 Approved)

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

Alabama
(9/4/2020)

IAR

Louisiana
(9/9/2020)

IAR

Texas
(9/4/2020)

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: 11/21/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/2007

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: 3/30/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/22/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/29/2018

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 12/19/2008

Investment Company Products/Variable Contracts Principal Examination

Current Firm

WILLIAMS FINANCIAL GROUP

WFG CAPITAL ADVISORS, LLC | WILLIAMS FINANCIAL GROUP

CRD#: 310008 / SEC#: 801-119410

RIA

Registered Investment Advisory firm - (9/4/2020 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2616-a Dauphin Street, Mobile, AL 36606

Mailing Address

Phone number

(251) 473-2120

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WILLIAMS FINANCIAL GROUP - FORM ADV PART 2A BROCHURE (3/7/2025)

WILLIAMS FINANCIAL GROUP - FORM ADV PART 2A APPENDIX - WRAP PROGRAM BROCHURE (3/7/2025)

Regulatory assets under management

Total Number of Accounts	519
AUM (Assets Under Management)	$ 292,650,324

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.

Similar Advisors

Franklin Little

NYLIFE SECURITIES LLC

MOBILE, AL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Matt A. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matt Andrew Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

APTUS CAPITAL ADVISORS, LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

WILLIAMS FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 11/21/2009

Series 63

Date: 3/27/2007

SIE

Date: 10/1/2018

Series 7

Date: 3/30/2018

Series 6

Date: 3/22/2007

Series 24

Date: 9/29/2018

Series 26

Date: 12/19/2008

Current Firm

WILLIAMS FINANCIAL GROUP

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WILLIAMS FINANCIAL GROUP

TRUST BUT VERIFY

Similar Advisors