David R. Williams
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.
David Rene Williams was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2010. David had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2017 - June 11, 2020
DRW SECURITIES, L.L.C.
June 18, 2010 - September 29, 2017
RGM SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DRW SECURITIES, L.L.C.
CRD#: 45908 / SEC#: , 8-51241
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRW HOLDINGS, LLC | MEMBER | |
| ARMOUR II, ROBERT WILLIAM | CHIEF COMPLIANCE OFFICER | 4447215 |
| CALDWELL, CHRISTOPHER ROBERT | DIRECTOR OF BROKER DEALER COMPLIANCE | 4182335 |
| CALIXTO, CHRIZITA | CHIEF FINANCIAL OFFICER | 6564070 |
| DRW ASSOCIATES LLC | MEMBER | |
| DRW MANAGEMENT, LLC | MANAGER | |
| FOWLER, SCOTT ALAN | FINOP, COO, PFO, POO | 3004363 |
| GARCHIK, ADAM TODD | CEO | 2967638 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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