Basil C. 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.
Basil Constantine Williams, who also goes by Basil Constantin Williams, was a registered financial professional .
Basil is a previously registered financial professional and started their career in finance in 1980. Basil had worked at 2 firms and has passed the Series 63, Series 5, Series 15, 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
June 15, 1988 - May 10, 2002
BARCLAY INVESTMENTS LLC
October 22, 1980 - May 11, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 2/9/1983
Interest Rate Options ExaminationSeries 15
Date: 12/6/1982
Foreign Currency Options ExaminationCurrent Firm
BARCLAY INVESTMENTS LLC
CRD#: 6159 / SEC#: , 8-16935
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
