DW
David L. Williams
EQUITABLE DISTRIBUTORS
Charlotte, NC 28262
Some features on this profile are disabled
CRD#: 6697532
DW
Professional summary
David L Williams, who also goes by David L Williams Jr, David Leon Williams Jr, David Williams, is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.
David is registered as a RR (Registered Representative) and started their career in finance in 2018. David has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David L Williams Jr | David Leon Williams Jr | David 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.
***Fixed Insurance; Investment Related; Blueash, OH; Agent; Annuities, LTC, Life, Group, Health, DI; Start Date: 12/13/2019; 8 hrs per month; 8 during trading hours. ***Uber Technologies; Not Investment Related; Blue Ash, OH; Driver; Ride share pick ups and drop offs.; Start Date: 12/01/2019; 10 hrs per month; 0 during trading hours. INSURANCE POSITION: Property & Casualty NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/14/2021 ADDRESS: 4332 Villa Rd, Unit 5, Blue Ash OH 45242, United States DESCRIPTION: Provide Property and Casualty Insurance. P&C AND HEALTH POSITION: Insurance NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2022 ADDRESS: 862 W Galbraith Rd, Cincinnati OH 45231, United States DESCRIPTION: Independent Insurance Rep Provides Property, Casualty, and Health Insurance solutions.
CRS (Client Relationship Summary) - BD
Click below to view David L 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
November 15, 2023 - Present
EQUITABLE DISTRIBUTORS, LLC
Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262BD
CRD#: 25900
Charlotte, NC
Past
January 14, 2020 - November 3, 2023
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
CHARLOTTE, NC
Past
December 4, 2019 - November 3, 2023
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
CHARLOTTE, NC
Past
July 22, 2019 - January 7, 2020
VIMA, LLC
RIA
CRD#: 148833
TROY, MI
Past
August 24, 2018 - July 3, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CINCINNATI, OH
Past
June 27, 2018 - July 3, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CINCINNATI, OH
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
Alaska(3/14/2025)
RR
California(3/14/2025)
RR
Hawaii(3/25/2025)
RR
Idaho(3/17/2025)
RR
Montana(3/19/2025)
RR
Nevada(3/18/2025)
RR
North Carolina(11/15/2023)
RR
Oregon(3/18/2025)
RR
Washington(3/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ED
EQUITABLE DISTRIBUTORS, LLC
AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
8501 Ibm Drive, Suite 150, Charlotte, NC 28262
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105
Phone number
(212) 314-2137
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
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.
