David Ransom Williams
Professional Summary
David Ransom Williams is a registered financial advisor currently at SECURITY DISTRIBUTORS located in Topeka, Kansas. David is registered as a RR (Registered Representative) and started their career in finance in 2008. David has worked at 3 firms and has passed the Series 66, Series 11 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
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
18 years in the financial services industry
Current & Past Employments
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Current Firm
SECURITY DISTRIBUTORS | SECURITY DISTRIBUTORS, LLC | SECURITY DISTRIBUTORS, INC.
Contact Information
Main Address
One Security Benefit Place, Topeka, KS 66636-0001Mailing Address
One Security Benefit Place, Topeka, KS 66636Phone Number
(785) 438-3000Established
Kansas since 03/06/1962Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY BENEFIT LIFE INSURANCE COMPANY | MEMBER | — |
| AULETA, KURT EUGENE | SENIOR VICE PRESIDENT, SALES MANAGER WEST | 2463399 |
| BISHOP, COLIN WILLIAM | CFO, TREASURER & FINOP | 7787724 |
| BYRNES, DAVID GERARD | PRESIDENT & HEAD OF DISTRIBUTION | 1318905 |
| CARR, MARK JOSEPH | ASSISTANT VICE PRESIDENT | 2833346 |
| GARHART, GREGORY CHRISTOPHER | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & AML CHIEF COMPLIANCE OFFICER | 5118892 |
| JACQUINOT, JUSTIN ABER | SENIOR VICE PRESIDENT, DIRECT RELATIONSHIPS | 4437252 |
| KILEY, JAMES J | SENIOR VICE PRESIDENT, EDUCATION MARKET & AFFILIATES | 1278905 |
| MAGHINI, MICHAEL THOMAS | SENIOR VICE PRESIDENT, NATIONAL ACCOUNTS | 1239692 |
| POLLOCK, ALISON JANEL | VICE PRESIDENT & SECRETARY | 6743861 |
| REIDY, MICHAEL KEVIN | SENIOR VICE PRESIDENT | 1323936 |
| ROCHA, MATTHEW VINCENT | SENIOR VICE PRESIDENT, SALES MANAGER EAST | 5207062 |
| TALLEN, AARON MARSHAL | VICE PRESIDENT, INSIDE SALES, 401K AND DEFINED CONTRIBUTIONS | 4455856 |
| WELLS, RICHARD JAMES | SENIOR VICE PRESIDENT | 2622640 |
| WILEY, DONALD ANDREW | VICE PRESIDENT | 1132196 |
| YOUNG, LISA MICHELLE | ASSISTANT TREASURER | 2596425 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 11 — Assistant Representative-Order Processing Qualification Exam
Passed Sep 2018SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Ransom Williams's CRS (Customer Relationship Summary).
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