Eldon 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.
Eldon Clarke Williams, who also goes by Eldon C William, was a registered financial professional .
Eldon is a previously registered financial professional and started their career in finance in 1975. Eldon had worked at 9 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2011 - October 31, 2012
B.B. GRAHAM & COMPANY, INC.
January 11, 2010 - October 18, 2011
MIDAMERICA FINANCIAL SERVICES, INC.
January 16, 2007 - January 13, 2010
EQUITABLE ADVISORS, LLC
December 12, 2003 - January 22, 2007
FSC SECURITIES CORPORATION
March 23, 2001 - September 29, 2004
HIGH MARK SECURITIES, INC.
March 27, 1997 - March 26, 2001
NEW ENGLAND SECURITIES
August 24, 1995 - March 21, 1997
NYLIFE SECURITIES LLC
December 22, 1993 - June 21, 1995
NEW ENGLAND SECURITIES
March 3, 1975 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
March 3, 1975 - December 23, 1992
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
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 1
Date: 2/24/1975
Registered Representative ExaminationCurrent Firm
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
Contact information
SEC notice filing (45 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAHAM, BRUCE EDWIN | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 2563258 |
| BETTFREUND, JOHN WAYNE JR | CHIEF COMPLIANCE OFFICER | 1448436 |
| CALLEN, DOUGLAS BRAD | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 2133945 |
| GODINEZ, MARIE ELIZABETH | CHIEF OPERATIONS OFFICER | 3020086 |
Regulatory assets under management
| Total Number of Accounts | 303 |
| AUM (Assets Under Management) | $ 196,073,458 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
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.
