Gregory L. Williams

WELLINGTON MANAGEMENT COMPANY LLP

CHICAGO, IL 60606

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CRD#: 5697949

Professional summary

Gregory Lance Williams, who also goes by Greg Williams, is a registered financial advisor currently at WELLINGTON MANAGEMENT COMPANY LLP located in Chicago, Illinois and WELLINGTON FUNDS DISTRIBUTORS INC. located in Chicago, Illinois.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Gregory has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Greg 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.

WELLINGTON MANAGEMENT COMPANY LLP (WMC), 280 CONGRESS STATE STREET, BOSTON, MA 02210. BUSINESS IS INVESTMENT RELATED. WMC IS AN AFFILIATE OF THE FIRM. WMC PROVIDES DISCRETIONARY INVESTMENT ADIVSORY SERVICES TO INSTITUTIONAL CLIENTS AND COLLECTIVE INVESTMENT SCHEMES. MANAGING DIRECTOR AND BUSINESS DEVELOPMENT MANANGER IN THE GLOBAL RELATIONSHIP GROUP AT WMC. DECEMBER 2011. APPROXIMATELY 75% OF TIME SPENT ON OTHER BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Lance 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

January 17, 2014 - Present

WELLINGTON MANAGEMENT COMPANY LLP

Office #1: 222 West Adams Street Suite 2100, Chicago, IL 60606

RIA

CRD#: 106595

CHICAGO, IL

Current

May 11, 2012 - Present

WELLINGTON FUNDS DISTRIBUTORS INC.

Office #1: 345 North Morgan Street 4th Floor, Chicago, IL 60607

CRD#: 152768

Chicago, IL

Past

August 19, 2009 - April 26, 2012

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

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".

WELLINGTON MANAGEMENT COMPANY LLP

WELLINGTON MANAGEMENT COMPANY LLP | WELLINGTON MANAGEMENT COMPANY, LLP

CRD#: 106595 / SEC#: 801-15908

RIA

Registered Investment Advisory firm - (10/30/1979 Approved)

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.

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

Alabama
(3/31/2014)

Georgia
(6/25/2015)

Illinois
(5/11/2012)

Kansas
(6/25/2015)

Louisiana
(7/9/2012)

Mississippi
(7/9/2012)

Missouri
(6/25/2015)

North Carolina
(6/25/2015)

South Carolina
(6/25/2015)

IAR

Texas
(1/17/2014)

Texas
(6/25/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/9/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WELLINGTON MANAGEMENT COMPANY LLP

WELLINGTON MANAGEMENT COMPANY LLP | WELLINGTON MANAGEMENT COMPANY, LLP

CRD#: 106595 / SEC#: 801-15908

RIA

Registered Investment Advisory firm - (10/30/1979 Approved)

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Contact information

Main Address

280 Congress Street, Boston, MA 02210

Mailing Address

Phone number

(617) 951-5000

Established

Firm type

Fiscal year end

# of Employees

1,869

SEC notice filing (32 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

WELLINGTON MANAGEMENT ADV PART 2A - OUR BUSINESS AND PRACTICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,540
AUM (Assets Under Management)	$ 1,305,650,752,153

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/16/2025	Cover Page	Report
04/17/2024	Cover Page	Report
02/24/2023	Cover Page	Report

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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Firm Stability Insights

Gregory L. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Lance Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLINGTON FUNDS DISTRIBUTORS INC.

NORTHERN TRUST SECURITIES, INC.

Primary Firm SEC Registration

WELLINGTON MANAGEMENT COMPANY LLP

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/2009

SIE

Date: 10/1/2018

Series 7

Date: 8/18/2009

FINRA

Current Firm

WELLINGTON MANAGEMENT COMPANY LLP

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WELLINGTON MANAGEMENT COMPANY LLP

TRUST BUT VERIFY

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