David M. 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 Michael Williams was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - December 31, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
February 14, 2014 - December 31, 2014
GBS FINANCIAL CORP.
December 23, 2013 - February 11, 2014
GBS FINANCIAL CORP.
December 20, 2013 - December 31, 2013
GBS FINANCIAL CORP.
November 19, 2013 - December 31, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
May 16, 2000 - December 13, 2013
GBS FINANCIAL CORP.
February 19, 1988 - December 13, 2013
GBS FINANCIAL CORP.
December 24, 1986 - November 30, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
August 10, 1983 - February 14, 1986
LPL FINANCIAL LLC
June 18, 1981 - August 25, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
June 18, 1981 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 18, 1981 - November 30, 1990
IDS LIFE INSURANCE COMPANY
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
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
