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JW

John C. Williams

BROOKFIELD SECURITIES LLC
New York, NY 10281
Some features on this profile are disabled
CRD#: 7148440
JW

Professional summary

John Carlton Williams, who also goes by John Williams, Carl Williams, is a registered financial professional currently at BROOKFIELD SECURITIES LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2019. John has worked at 3 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Williams | Carl 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Carlton 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®
None

Experience

Current

May 13, 2025 - Present

BROOKFIELD SECURITIES LLC

Office #1: 250 Vesey St 15th Floor, New York, NY 10281
BD
CRD#: 327792
New York, NY
Past

July 18, 2024 - March 24, 2025

CITIZENS JMP SECURITIES, LLC

BD
CRD#: 22208
CHARLOTTE, NC
Past

September 3, 2019 - February 8, 2024

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC

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
New York
(5/13/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/1/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/3/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/25/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROOKFIELD SECURITIES LLC
BROOKFIELD SECURITIES LLC

CRD#: 327792 / SEC#: , 8-71170

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
250 Vesey Street 15th Floor, New York, NY 10281
Mailing Address
250 Vesey Street 15th Floor, New York, NY 10281
Phone number
(212) 978-1737
Established
Delaware since 07/13/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BCS HOLDINGS I LPOWNER
BECK, RAFAELFINOP5718571
BEDORE, ELISABETHCHIEF COMPLIANCE OFFICER5311786
RUSSELL, RACHEL WANYINGPRESIDENT4820201

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.

Company Information

BROOKFIELD SECURITIES LLC

CRD#: 327792New York, NY 10281

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