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Benjamin A. Williams
INVICTA FINANCIAL GROUP
YUMA, AZ 85365
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CRD#: 6250332
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Professional summary
Benjamin Alexander Williams, who also goes by Benjamin Williams, Ben Williams, is a registered financial advisor currently at INVICTA FINANCIAL GROUP located in Yuma, Arizona.
Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Benjamin has worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Benjamin Williams | Ben 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) Ben Williams is a licensed insurance agent of Benjamin A. Williams, Sole Proprietor since January 2014. He is an independent insurance agent that sells and services for health, and life insurance. He always acts in the best interest of the client. Clients are not required to implement the plan in his capacity as a licensed insurance agent. He receives approximately $3,000 compensation annually and spends about 6-12 hours per month on this activity. 2) Ben Williams is the treasurer and a director of the Board of BDT & Associates, Inc. since March 2018. He is responsible for managing and reporting on the financial health of the organization. He receives no compensation for this activity and spends 1-8 hours per month on this activity. 3) Ben Williams is the successor trustee of The Williams Family Trust since July 2015. This is his personal trust. He receives no compensation for this activity and spends 1-2 hours per month on this activity. 4) Ben Williams is a manager and owner of White Sheep Financial Services, LLC since December 2019. This is a single owner corporation established to pay all appropriate payroll taxes, federal and state income taxes for advisory business. He receives no commission for this activity and spends 1 hour per month on this activity. 5) Ben Williams is a successor trustee of a trust since September 2022. He receives no compensation for this activity and spends .5 hours per month on this activity.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Alexander 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
May 17, 2018 - Present
INVICTA FINANCIAL GROUP
Office #1: 2615 East 24th Street Suite 2, Yuma, AZ 85365RIA
CRD#: 288008
YUMA, AZ
Past
January 15, 2014 - September 10, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
YUMA, AZ
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".
IF
INVICTA FINANCIAL GROUP
BDT & ASSOCIATES, INC. | INVICTA FINANCIAL GROUP
CRD#: 288008 / SEC#: 801-118542
RIA
Registered Investment Advisory firm - (4/27/2020 Approved)Arizona
Registered Investment Advisory firm - (4/28/2020 Terminated)California
Registered Investment Advisory firm - (5/28/2020 Terminated)Iowa
Registered Investment Advisory firm - (4/29/2020 Terminated)Louisiana
Registered Investment Advisory firm - (4/30/2020 Terminated)Nevada
Registered Investment Advisory firm - (5/28/2020 Terminated)North Carolina
Registered Investment Advisory firm - (4/29/2020 Terminated)Texas
Registered Investment Advisory firm - (4/28/2020 Terminated)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
Arizona(5/17/2018)
IAR
California(1/5/2022)
IAR
North Carolina(1/5/2022)
IAR
Texas(1/11/2022)
IAR
Washington(1/11/2022)
Current Firm
IF
INVICTA FINANCIAL GROUP
BDT & ASSOCIATES, INC. | INVICTA FINANCIAL GROUP
CRD#: 288008 / SEC#: 801-118542
RIA
Registered Investment Advisory firm - (4/27/2020 Approved)Arizona
Registered Investment Advisory firm - (4/28/2020 Terminated)California
Registered Investment Advisory firm - (5/28/2020 Terminated)Iowa
Registered Investment Advisory firm - (4/29/2020 Terminated)Louisiana
Registered Investment Advisory firm - (4/30/2020 Terminated)Nevada
Registered Investment Advisory firm - (5/28/2020 Terminated)North Carolina
Registered Investment Advisory firm - (4/29/2020 Terminated)Texas
Registered Investment Advisory firm - (4/28/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2615 East 24th Street Suite 2, Yuma, AZ 85365
Mailing Address
Phone number
(928) 344-8000
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,722 |
| AUM (Assets Under Management) | $ 324,619,396 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
INVICTA FINANCIAL GROUP
CRD#: 288008Yuma, AZ 85365TRUST BUT VERIFY
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