Brandon M. Williams
Professional summary
Brandon M Williams was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brandon is a previously registered financial professional and started their career in finance in 2013. Prior to being barred, Brandon had worked at 3 firms, which includes BMO HARRIS FINANCIAL ADVISORS INC., NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC, MORGAN STANLEY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2016 - July 28, 2017
BMO HARRIS FINANCIAL ADVISORS, INC.
September 12, 2016 - July 28, 2017
BMO HARRIS FINANCIAL ADVISORS, INC.
August 25, 2014 - May 7, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 21, 2014 - May 7, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 6, 2014 - May 28, 2014
MORGAN STANLEY
December 24, 2013 - May 28, 2014
MORGAN STANLEY
State Registrations and Notice Filings
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Exams
Current Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
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