Carl K. Williams

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CRD#: 5408027

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.

Carl Keith Williams was a registered financial professional .

Carl is a previously registered financial professional and started their career in finance in 2008. Carl had worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 25, 2020 - August 12, 2020

FORTRESS PRIVATE LEDGER, LLC

RIA

CRD#: 290298

RALEIGH, NC

Past

May 31, 2018 - February 25, 2020

AXIOM CONSULTING GROUP LLC

RIA

CRD#: 294117

RALEIGH, NC

Past

November 4, 2015 - May 22, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

RALEIGH, NC

Past

November 4, 2015 - May 22, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

RALEIGH, NC

Past

June 21, 2013 - October 6, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CARY, NC

Past

June 21, 2013 - October 6, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CARY, NC

Past

July 7, 2011 - June 24, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RALEIGH, NC

Past

July 7, 2011 - June 24, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RALEIGH, NC

Past

May 8, 2009 - November 12, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

RALEIGH, NC

Past

March 12, 2008 - November 12, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

RALEIGH, NC

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".

FORTRESS PRIVATE LEDGER, LLC

CRD#: 290298 / SEC#: 801-118075, 8-70027

RIA

Registered Investment Advisory firm - SEC (2/18/2020 Approved)

North Carolina

Registered Investment Advisory firm - SEC (2/28/2020 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/27/2020 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 6/6/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/13/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/11/2008

General Securities Representative Examination

Current Firm

FORTRESS PRIVATE LEDGER, LLC

CRD#: 290298 / SEC#: 801-118075, 8-70027

RIA

Registered Investment Advisory firm - SEC (2/18/2020 Approved)

North Carolina

Registered Investment Advisory firm - SEC (2/28/2020 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/27/2020 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

3110 Edwards Mill Rd, Ste 200 Suite 200, Raleigh, NC 27612

Mailing Address

3110 Edwards Mill Rd, Ste 200, Raleigh, NC 27612

Phone number

(919) 322-2762

Established

North Carolina since 11/17/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (19 States and Territories)

FINRA licenses (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE FOR FORTRESS PRIVATE LEDGER (3/31/2025)

FIRM BROCHURE FOR FORTRESS PRIVATE LEDGER (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
THE JOSEPH N. GRABAR, III REVOCABLE TRUST DATED MAY 14, 2004	OWNER
GURE, CHRISTOPHER JOSEPH	OWNER	6339890
CARTER, ANA R	FINOP/CFO/PFO/POO	4424794
GRABAR, JOSEPH NICHOLAS III	CEO/CCO/TRUSTEE	2776181

Regulatory assets under management

Total Number of Accounts	1,115
AUM (Assets Under Management)	$ 346,106,253

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.

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Advisor Monitoring

Firm Stability Insights

Carl K. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AXIOM CONSULTING GROUP LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

FORTRESS PRIVATE LEDGER, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/6/2008

SIE

Date: 5/22/2018

Series 31

Date: 2/13/2012

Series 7

Date: 3/11/2008

Current Firm

FORTRESS PRIVATE LEDGER, LLC

Contact information

SEC notice filing (19 States and Territories)

FINRA licenses (47 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

FORTRESS PRIVATE LEDGER, LLC

TRUST BUT VERIFY

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