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JW

Jamie C. Williams

ELLENBECKER INVESTMENT GROUP
Waukesha, WI 53188
Some features on this profile are disabled
CRD#: 5860908
JW

Professional summary

Jamie C Williams, CFP®, who also goes by Jamie Colburn Williams, is a registered financial advisor currently at ELLENBECKER INVESTMENT GROUP located in Waukesha, Wisconsin.

Jamie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Jamie has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jamie Colburn 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.
RENTAL PROPERTY, INV RELATED, MCHENRY, IL, 100% OWNERSHIP WITH SPOUSE, START 08/01/2011, ZERO HOURS PER MONTH, LANDLORD.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jamie C 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®
CFP®

Certified Financial Planner

Experience

Current

August 29, 2019 - Present

ELLENBECKER INVESTMENT GROUP

Office #1: N21 W23350 Ridgeview Parkway, Waukesha, WI 53188
RIA
CRD#: 173851
Waukesha, WI
Past

January 25, 2017 - August 22, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MILWAUKEE, WI
Past

January 25, 2017 - August 22, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MILWAUKEE, WI
Past

November 20, 2015 - January 25, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WAUKESHA, WI
Past

August 24, 2015 - January 25, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WAUKESHA, WI
Past

June 10, 2015 - July 15, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Elm Grove, WI
Past

March 21, 2011 - October 23, 2014

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
BROOKFIELD, WI

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".
EI
ELLENBECKER INVESTMENT GROUP
EIG | ELLENBECKER INVESTMENT GROUP, INC. | ELLENBECKER INVESTMENT GROUP

CRD#: 173851 / SEC#: 801-80600

RIA
Registered Investment Advisory firm - (12/2/2014 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.

Highlighted states indicate IAR registrations

IAR
Wisconsin
(8/29/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/19/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/29/2011
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: 10/7/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/18/2011
Investment Company Products/Variable Contracts Representative Examination

Current Firm

EI
ELLENBECKER INVESTMENT GROUP
EIG | ELLENBECKER INVESTMENT GROUP, INC. | ELLENBECKER INVESTMENT GROUP

CRD#: 173851 / SEC#: 801-80600

RIA
Registered Investment Advisory firm - (12/2/2014 Approved)
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Contact information

Main Address
N21 W23350 Ridgeview Parkway, Waukesha, WI 53188
Mailing Address
Phone number
(262) 691-3200
Established
Firm type
Fiscal year end
# of Employees
42

SEC notice filing (22 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A (3/25/2025)

Regulatory assets under management

Total Number of Accounts2,152
AUM (Assets Under Management)$ 1,731,276,641

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

ELLENBECKER INVESTMENT GROUP

CRD#: 173851Waukesha, WI 53188

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