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RW

Rodney L. Williams

SENTRY EQUITY SERVICES
STEVENS POINT, WI 54481
Some features on this profile are disabled
CRD#: 5652563
RW

Professional summary

Rodney Lee Williams, who also goes by Rodney Williams, is a registered financial professional currently at SENTRY EQUITY SERVICES, INC. located in Stevens Point, Wisconsin.

Rodney is registered as a RR (Registered Representative) and started their career in finance in 2009. Rodney has worked at 3 firms and has passed the Series 63, SIE, Series 6, Series 26 and Series 51 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rodney 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rodney Lee 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®
None

Experience

Current

October 28, 2022 - Present

SENTRY EQUITY SERVICES, INC.

Office #1: 1800 North Point Drive, Stevens Point, WI 54481
BD
CRD#: 5069
STEVENS POINT, WI
Past

August 15, 2014 - November 11, 2020

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
JACKSONVILLE, FL
Past

November 26, 2013 - July 3, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
JACKSONVILLE, FL
Past

April 28, 2009 - August 13, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
JACKSONVILLE, FL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(2/13/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/6/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/27/2009
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/12/2024
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 51
Date: 2/12/2024
Municipal Fund Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SE
SENTRY EQUITY SERVICES, INC.
SENTRY EQUITY SERVICES, INC.

CRD#: 5069 / SEC#: , 8-15078

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1800 North Point Drive, Stevens Point, WI 54481
Mailing Address
1800 North Point Drive, Stevens Point, WI 54481
Phone number
(715) 346-6000
Established
Delaware since 05/09/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SENTRY INSURANCE A MUTUAL COSHAREHOLDER
DANCZYK, CARLA MARIECHIEF COMPLIANCE OFFICER4711455
GWIDT, PAUL MATTHEWTREASURER6777031
HYLAND, JOHNPRESIDENT7741049
KOVAC, TIMOTHY KENNETHSECRETARY7622917
MCPARTLAND, PETER GEORGEDIRECTOR/CHAIRMAN OF THE BOARD6109531
NIMM, SEANDIRECTOR7978565

Disclosures

Regulatory Event2

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.

Company Information

SENTRY EQUITY SERVICES, INC.

CRD#: 5069Stevens Point, WI 54481

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