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TW

Tonie G. Williams

PURSHE KAPLAN STERLING INVESTMENTS
Alpharetta, GA 30009
Some features on this profile are disabled
CRD#: 5714467
TW
Tonie Guerda WilliamsPURSHE KAPLAN STERLING INVESTMENTS

Professional summary

Tonie Guerda Williams, who also goes by Tonie G Williams, Tonie Williams, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Alpharetta, Georgia.

Tonie is registered as a RR (Registered Representative) and started their career in finance in 2011. Tonie has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Aliases

Tonie G Williams | Tonie 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 Tonie Guerda Williams's CRS (Customer Relationship Summary).
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

March 17, 2025 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 11675 Rainwater Drive Suite 625, Alpharetta, GA 30009
BD
CRD#: 35747
Alpharetta, GA
Past

March 6, 2018 - August 10, 2023

MORGAN STANLEY

BD
CRD#: 149777
Alpharetta, GA
Past

February 1, 2013 - August 2, 2016

TRADESTATION SECURITIES, INC.

BD
CRD#: 39473
PLANTATION, FL
Past

December 14, 2011 - January 30, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
MIAMI, 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
Georgia
(3/17/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/7/2014
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 7
Date: 12/13/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747Alpharetta, GA 30009

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