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John Edward Williams III

John E. Williams

PLUM POINTE WEALTH MANAGEMENT
S. DARTMOUTH, MA
Some features on this profile are disabled
CRD#: 5864621
John Edward Williams III

Professional summary

John Edward Williams III, CFP®, who also goes by John Edward Williams, John Williams, Jay Williams, is a registered financial advisor currently at PLUM POINTE WEALTH MANAGEMENT located in S. Dartmouth, Massachusetts.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. John has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

John Edward Williams | John Williams | Jay 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.
1. Fixed Insurance. Investment-related. At registered location. Fixed insurance. Insurance agent. 10/2024. 2 hrs/month. 2 hrs during securities hrs. Provide insurance advice based on the needs of clients. 2. Williams Estate & Financial Group, Inc. Investment-related. At registered location. Pass through entity. President. 5/2014. 1 hr/month. 1 hr during securities hrs. No duties, pass through entity for accounting. 3. Comic books. Not investment-related. S. Dartmouth, MA 02748. Comic book sales. Collector. 1/2010. 10 hrs/month. 0 hrs during securities hrs. Buy/sell comic books online. 4. PURSHE KAPLAN STERLING INVESTMENTS; Investment-related; New Bedford, MA; Broker dealer; Registered Representative; 01/2025; Approximately 2 hours/month with 2 hours/month during securities trading hours. 5. CLARITY RETIREMENT & WEALTH, LLC; Investment-related; New Bedford, MA; RIA; Managing Member, Chief Compliance Officer, Investment Adviser Representative; 07/2025; Approximately 40 hours/month with 40 hours/month during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Edward Williams III'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

Start date: 2016

Experience

Current

November 1, 2024 - Present

PLUM POINTE WEALTH MANAGEMENT

RIA
CRD#: 332618
S. DARTMOUTH, MA
Current

September 17, 2025 - Present

Office #1: 158 Charles L Mccombs Blvd. 2nd Floor, New Bedford, MA 02745
NEW BEDFORD, MA
Current

January 3, 2025 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 158 Charles L Mccombs Blvd, New Bedford, MA 02745
BD
CRD#: 35747
ALBANY, NY
Past

March 25, 2017 - October 21, 2024

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
New Bedford, MA
Past

March 25, 2017 - October 21, 2024

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
New Bedford, MA
Past

August 15, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
New Bedford, MA
Past

August 12, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
New Bedford, MA
Past

April 28, 2014 - August 23, 2016

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
BEDFORD, MA
Past

March 28, 2011 - August 23, 2016

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW BEDFORD, MA

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".
PP
PLUM POINTE WEALTH MANAGEMENT
PLUM POINTE WEALTH MANAGEMENT | PLUM POINTE WEALTH MANAGEMENT, LLC

CRD#: 332618 / SEC#: 801-131283

RIA
Registered Investment Advisory firm - (10/9/2024 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.
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
(1/3/2025)
RR
Maine
(1/3/2025)
IAR
Massachusetts
(11/1/2024)
RR
Massachusetts
(1/3/2025)
RR
Rhode Island
(1/3/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/31/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/28/2011
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: 3/2/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/26/2011
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PP
PLUM POINTE WEALTH MANAGEMENT
PLUM POINTE WEALTH MANAGEMENT | PLUM POINTE WEALTH MANAGEMENT, LLC

CRD#: 332618 / SEC#: 801-131283

RIA
Registered Investment Advisory firm - (10/9/2024 Approved)
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Contact information

Main Address
225 Dyer Street Fl 2, Providence, RI 02903
Mailing Address
Phone number
(401) 228-8258
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (6 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

FORM ADV PART 2A (10/24/2025)

Regulatory assets under management

Total Number of Accounts935
AUM (Assets Under Management)$ 206,679,179

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

PLUM POINTE WEALTH MANAGEMENT

CRD#: 332618S. Dartmouth, MA

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