WW
Weslee D. Williams
GRIFFITH & WERNER
Canton, GA 30115
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CRD#: 5475341
WW
Professional summary
Weslee Drew Williams is a registered financial advisor currently at GRIFFITH & WERNER, INC. located in Canton, Georgia.
Weslee is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Weslee has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
1)DBA - GRIFFITH & WERNER, INC; INVESTMENT RELATED;107 MOUNTAIN BROOK DRIVE, STE 108, CANTOR, GA 30115; FINANCIAL SERVICES; PRODUCER; START DATE 04/2014; 20 HOURS PER MONTH WITH 15 HOURS PER MONTH OCCURRING DURING TRADING HOURS; ASSIST CLIENTS IN PURCHASING THE APPROPRIATE INSURANCE PRODUCTS FOR THEIR RESPECTIVE NEEDS.///2)GRIFFITH & WERNER, INC; INVESTMENT RELATED; 107 MOUNTAIN BROOK DRIVE, STE 108, CANTOR, GA 30115;INVESTMENT ADVISORY; INVESTMENT ADVISOR REP; START DATE 2/2016; 140 HOURS PER MONTH WITH ALL HOURS OCCURING DURING TRADING HOURS;SOLICITING FEE BASED BUSINESS THROUGH GRIFFITH & WERNER.///3)COLLEGE FAMILY PLAN; INVESTMENT RELATED; 107 MOUNTAIN BROOK DR. STE 108, CANTOR, GA 30115; COLLEGE PLANNING; ADVISOR; 10-20 HOURS PER MONTH WITH ALL HOURS OCCURRING DURING TRADING HOURS; CONSULT FAMILIES ON PREPARING THEIR STUDENT FOR COLLEGE AND REDUCING STUDENT DEBT.
CRS (Client Relationship Summary) - RIA
Click below to view Weslee Drew Williams's 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®
NoneExperience
Current
February 9, 2016 - Present
GRIFFITH & WERNER, INC.
Office #1: 111 Mountain Brook Drive Suite 208, Canton, GA 30115RIA
CRD#: 136380
Canton, GA
Past
August 18, 2017 - November 15, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
CANTON, GA
Past
April 1, 2015 - May 23, 2017
OSAIC FS, INC.
RIA
CRD#: 3870
CANTON, GA
Past
May 7, 2014 - August 22, 2017
OSAIC FS, INC.
BD
CRD#: 3870
CANTON, GA
Past
May 9, 2008 - August 28, 2009
OSAIC FA, INC.
BD
CRD#: 3978
ST. PETERSBURG, FL
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".
G&
GRIFFITH & WERNER, INC.
GRIFFITH & WERNER, INC.
CRD#: 136380 / SEC#: 801-117889
RIA
Registered Investment Advisory firm - (1/3/2020 Approved)Florida
Registered Investment Advisory firm - (3/27/2020 Terminated)Georgia
Registered Investment Advisory firm - (3/30/2020 Terminated)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
Georgia(2/9/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
G&
GRIFFITH & WERNER, INC.
GRIFFITH & WERNER, INC.
CRD#: 136380 / SEC#: 801-117889
RIA
Registered Investment Advisory firm - (1/3/2020 Approved)Florida
Registered Investment Advisory firm - (3/27/2020 Terminated)Georgia
Registered Investment Advisory firm - (3/30/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
111 Mountain Brook Drive Suite 208, Canton, GA 30115
Mailing Address
Phone number
(678) 901-4167
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 402 |
| AUM (Assets Under Management) | $ 195,202,642 |
Red Flags
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