David Williams
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Williams, who also goes by David Sims Williams, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1979. David had worked at 4 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 7, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2003 - September 7, 2021
SNOW CAPITAL MANAGEMENT, L.P.
July 31, 1993 - July 30, 2003
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - July 30, 2003
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
December 26, 1979 - February 15, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 7/11/1989
Foreign Currency Options ExaminationSeries 5
Date: 10/16/1981
Interest Rate Options ExaminationSeries 12
Date: 3/17/1984
NYSE Branch Manager ExaminationCurrent Firm
SNOW CAPITAL MANAGEMENT, L.P.
CRD#: 106516 / SEC#: 801-37238
Contact information
Documents
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.
