DW
David M. Williams
STONEX FINANCIAL
DENVER, CO
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CRD#: 6137727
DW
Professional summary
David Michael Williams is a registered financial professional currently at STONEX FINANCIAL INC. located in Denver, Colorado.
David is registered as a RR (Registered Representative) and started their career in finance in 2013. David has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view David Michael 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®
NoneExperience
Current
January 14, 2014 - Present
STONEX FINANCIAL INC.
BD
CRD#: 45993
DENVER, CO
Past
July 7, 2016 - July 12, 2017
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BIRMINGHAM, AL
Past
July 7, 2016 - July 5, 2018
INTL CUSTODY & CLEARING SOLUTIONS INC.
BD
CRD#: 23952
BIRMINGHAM, AL
Past
February 7, 2013 - October 11, 2013
GARDNYR MICHAEL CAPITAL, INC.
BD
CRD#: 30520
MOBILE, AL
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
Alabama(1/14/2014)
RR
Alaska(12/23/2020)
RR
Arizona(12/23/2020)
RR
Arkansas(12/23/2020)
RR
California(4/22/2019)
RR
Colorado(12/23/2020)
RR
Connecticut(4/22/2019)
RR
Delaware(12/23/2020)
RR
District of Columbia(12/23/2020)
RR
Florida(5/12/2015)
RR
Georgia(4/22/2019)
RR
Hawaii(12/23/2020)
RR
Idaho(12/23/2020)
RR
Illinois(4/29/2015)
RR
Indiana(12/23/2020)
RR
Iowa(4/22/2019)
RR
Kansas(12/23/2020)
RR
Kentucky(12/23/2020)
RR
Louisiana(12/23/2020)
RR
Maryland(12/23/2020)
RR
Massachusetts(4/22/2019)
RR
Michigan(12/23/2020)
RR
Minnesota(4/22/2019)
RR
Mississippi(12/23/2020)
RR
Missouri(4/22/2019)
RR
Montana(12/23/2020)
RR
Nebraska(12/23/2020)
RR
Nevada(12/23/2020)
RR
New Hampshire(12/23/2020)
RR
New Jersey(4/22/2019)
RR
New Mexico(12/23/2020)
RR
New York(4/22/2019)
RR
North Carolina(4/22/2019)
RR
North Dakota(12/23/2020)
RR
Ohio(12/23/2020)
RR
Oklahoma(12/23/2020)
RR
Oregon(12/23/2020)
RR
Pennsylvania(4/22/2019)
RR
Puerto Rico(4/22/2019)
RR
Rhode Island(12/23/2020)
RR
South Carolina(12/23/2020)
RR
South Dakota(12/23/2020)
RR
Tennessee(12/23/2020)
RR
Texas(4/22/2019)
RR
Utah(12/23/2020)
RR
Vermont(12/23/2020)
RR
Virginia(4/22/2019)
RR
Washington(12/23/2020)
RR
West Virginia(12/23/2020)
RR
Wisconsin(4/22/2019)
RR
Wyoming(12/23/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SF
STONEX FINANCIAL INC.
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Phone number
(407) 741-5300
Established
Florida since 05/29/1998
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
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.
