Allan L. 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.
Allan Laralle Williams, who also goes by Al Williams, was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1980. Allan had worked at 4 firms and has passed the Series 63, Series 5, Series 7, Series 30 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2011 - May 19, 2014
WORLD CHOICE SECURITIES, INC.
July 11, 1989 - September 1, 2009
SECURITIES AMERICA, INC.
March 19, 1987 - August 4, 1989
INVESTACORP, INC.
January 19, 1980 - April 14, 1987
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 5
Date: 9/28/1981
Interest Rate Options ExaminationCurrent Firm
WORLD CHOICE SECURITIES, INC.
CRD#: 30933 / SEC#: , 8-45235
Contact information
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 24,955,000 |
Disclosures
| Regulatory Event | 2 |
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.
