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DW

David R. Williams

Some features on this profile are disabled
CRD#: 804029
DW

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 Robert Williams was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1975. David had worked at 13 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 5, 1985 - April 15, 1989

SECURITIES USA, INC.

BD
CRD#: 14799
Past

December 21, 1984 - January 22, 1985

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

March 9, 1984 - February 6, 1985

J.D. COPPERFIELD, LTD.

BD
CRD#: 13036
Past

November 8, 1983 - March 27, 1984

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096
Past

October 26, 1982 - October 4, 1983

CENTENNIAL STATE SECURITIES, INC.

BD
CRD#: 8698
Past

June 10, 1982 - December 7, 1982

RUSHMORE CAPITAL, INC.

BD
CRD#: 5940
Past

October 9, 1981 - February 25, 1982

INTERNATIONAL SECURITIES, INC.

BD
CRD#: 7051
Past

May 1, 1981 - July 15, 1981

THE INVESTMENT BANKERS, INC.

BD
CRD#: 8420
Past

February 19, 1980 - May 22, 1981

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096
Past

July 25, 1979 - February 29, 1980

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

December 22, 1978 - July 29, 1979

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

June 9, 1977 - November 24, 1978

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

January 19, 1977 - July 4, 1977

EDWARD JONES

BD
CRD#: 250
Past

January 24, 1975 - February 21, 1977

BOSWORTH SULLIVAN & COMPANY INCORPORATED

BD
CRD#: 103

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/30/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/1975
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/3/1980
General Securities Principal Examination

Current Firm

SU
SECURITIES USA, INC.
BECT ENTERPRISES OF MISSOURI, INC. | UNION INVESTMENT GROUP, INC. | SECURITIES USA, INC. | DUNHILL INVESTMENTS LTD.

CRD#: 14799 / SEC#: , 8-32410

BD
Expelled by FINRA on 05/24/1990
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 10/31/1984
Firm type
Corporation
Fiscal year end
September
# of Employees

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.

Company Information

SECURITIES USA, INC.

CRD#: 14799

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