PW
Phillip P. Williams
Some features on this profile are disabled
CRD#: 5513728
PW
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.
Phillip Patrick Williams, who also goes by Phillip P Williams, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 2008. Phillip had worked at 8 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Phillip P Williams
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.
I*2147
FOR PROFIT OR NOT FOR PROFIT: GOVERNMENTAL OR PUBLIC PURPOSE ENTITY
NAME OF OUTSIDE BUSINESS ORGANIZATION: EASTERN HIGH SCHOOL
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
GREENTOWN, INDIANA 46936
NATURE OF BUSINESS: GIRLS SOCCER COACH,
POSITION, TITLE, ASSOCIATION: VARSITY GIRLS SOCCER COACH,
START DATE OF RELATIONSHIP: 6/1/2017
NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0
DUTIES: RUN THE GIRLS SOCCER PROGRAM FOR THE SCHOOL
I*105072
FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: ALZHEIMERS ASSOCIATION OF INDIANA
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
INDIANAPOLIS, INDIANA 46240
NATURE OF BUSINESS: CHARITABLE ORGANIZATION,
POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER,
START DATE OF RELATIONSHIP: 5/1/2017
NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0
DUTIES: SERVE A MEMBER OF THE CHOCOLATE SUNDAY FUNDRAISING COMMITTEE. I WILL HELP ORGANIZE THE EVENT AND ACQUIRE TABLE SPONSORS. I WILL NOT BE SOLICITING ANY CLIENTS TO DONATE TO THE EVENT.
I*105070
FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: INDIANA FIRE JUNIORS
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
WESTFIELD, INDIANA 46074
NATURE OF BUSINESS: CHARITABLE ORGANIZATION,
POSITION, TITLE, ASSOCIATION: OTHER, SOCCER COACH
START DATE OF RELATIONSHIP: 6/1/2017
NUMBER OF HOURS DEVOTED: 25 HOUR(S) MONTHLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0
DUTIES: HEAD SOCCER COACH FOR U12 BOYS TEAM
I*106516
FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: AMERICAN LUNG ASSOCIATIOHN
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
INDIANAPOLIS, INDIANA 46204
NATURE OF BUSINESS: CHARITABLE ORGANIZATION,
POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER,
START DATE OF RELATIONSHIP: 7/10/2017
NUMBER OF HOURS DEVOTED: 30 HOUR(S) ANNUALLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0
DUTIES: AMERICAN LUNG ASSOCIATION OF INDIANAPOLIS - SERVE AS A MEMBER OF THE LEADERSHIP TEAM CHARGED WITH ORGANIZING THE ANNUAL GALA FUNDRAISING EVENT.
I*125748
For profit or not for profit: For-Profit Organization
Name of outside business organization: Titan Bats
Investment related: N
Address of business:
Logansport, Indiana 46947
Nature of business: LLC,
Position, title, association: Owner,
Start date of relationship: 8/24/2019
Number of hours devoted: 25 hour(s) Monthly
Number of hours devoted during trading hours: 0
Duties: I will be helping with online sales, strategy, marketing.
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®
NoneExperience
Past
April 9, 2020 - January 27, 2025
KINGSVIEW WEALTH MANAGEMENT, LLC
RIA
CRD#: 148107
Grants Pass, OR
Past
May 16, 2016 - April 14, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
INDIANAPOLIS, IN
Past
May 16, 2016 - April 14, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
INDIANAPOLIS, IN
Past
November 4, 2013 - May 17, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
LOUISVILLE, KY
Past
November 1, 2013 - May 17, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
LOUISVILLE, KY
Past
June 8, 2012 - October 15, 2013
MORGAN STANLEY
RIA
CRD#: 149777
INDIANAPOLIS, IN
Past
June 8, 2012 - October 15, 2013
MORGAN STANLEY
BD
CRD#: 149777
INDIANAPOLIS, IN
Past
January 24, 2011 - June 6, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
KOKOMO, IN
Past
January 24, 2011 - June 6, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
KOKOMO, IN
Past
July 10, 2008 - January 11, 2011
CREATIVE FINANCIAL DESIGNS, INC.
RIA
CRD#: 109032
KOKOMO, IN
Past
June 6, 2008 - January 11, 2011
CFD INVESTMENTS, INC.
BD
CRD#: 25427
KOKOMO, IN
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".
KW
KINGSVIEW WEALTH MANAGEMENT, LLC
KINGSVIEW ASSET MANAGEMENT | VERDEO FINANCIAL SERVICES | ROLLO WEALTH MANAGEMENT | PERLMAN GROUP | NORMAN J. POLITZINER, CFP & NJP ASSOCIATES | KNIGHT STRATEGIC WEALTH | KINGSVIEW WEALTH MANAGEMENT, LLC | KINGSVIEW PARTNERS WEALTH MANAGEMENT | KINGSVIEW PARTNERS | KINGSVIEW INVESTMENT STRATEGIES | KINGSVIEW INVESTMENT MANAGEMENT | KINGSVIEW ASSET MANAGEMENT, LLC
CRD#: 148107 / SEC#: 801-79198
RIA
Registered Investment Advisory firm - (2/24/2014 Approved)Arkansas
Registered Investment Advisory firm - (2/26/2014 Terminated)Florida
Registered Investment Advisory firm - (2/26/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/26/2014 Terminated)Iowa
Registered Investment Advisory firm - (2/26/2014 Terminated)Minnesota
Registered Investment Advisory firm - (2/26/2014 Terminated)New York
Registered Investment Advisory firm - (11/8/2013 Cancelled)North Dakota
Registered Investment Advisory firm - (2/26/2014 Terminated)Oregon
Registered Investment Advisory firm - (2/26/2014 Terminated)South Dakota
Registered Investment Advisory firm - (2/26/2014 Terminated)Texas
Registered Investment Advisory firm - (2/26/2014 Terminated)Virginia
Registered Investment Advisory firm - (2/26/2014 Terminated)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.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/6/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
KW
KINGSVIEW WEALTH MANAGEMENT, LLC
KINGSVIEW ASSET MANAGEMENT | VERDEO FINANCIAL SERVICES | ROLLO WEALTH MANAGEMENT | PERLMAN GROUP | NORMAN J. POLITZINER, CFP & NJP ASSOCIATES | KNIGHT STRATEGIC WEALTH | KINGSVIEW WEALTH MANAGEMENT, LLC | KINGSVIEW PARTNERS WEALTH MANAGEMENT | KINGSVIEW PARTNERS | KINGSVIEW INVESTMENT STRATEGIES | KINGSVIEW INVESTMENT MANAGEMENT | KINGSVIEW ASSET MANAGEMENT, LLC
CRD#: 148107 / SEC#: 801-79198
RIA
Registered Investment Advisory firm - (2/24/2014 Approved)Arkansas
Registered Investment Advisory firm - (2/26/2014 Terminated)Florida
Registered Investment Advisory firm - (2/26/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/26/2014 Terminated)Iowa
Registered Investment Advisory firm - (2/26/2014 Terminated)Minnesota
Registered Investment Advisory firm - (2/26/2014 Terminated)New York
Registered Investment Advisory firm - (11/8/2013 Cancelled)North Dakota
Registered Investment Advisory firm - (2/26/2014 Terminated)Oregon
Registered Investment Advisory firm - (2/26/2014 Terminated)South Dakota
Registered Investment Advisory firm - (2/26/2014 Terminated)Texas
Registered Investment Advisory firm - (2/26/2014 Terminated)Virginia
Registered Investment Advisory firm - (2/26/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
509 Se 7th Street 2nd Floor, Grants Pass, OR 97526
Mailing Address
Phone number
(312) 870-6701
Established
Firm type
Fiscal year end
# of Employees
225
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 24,847 |
| AUM (Assets Under Management) | $ 6,745,495,357 |
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.
