Kenneth W. 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.
Kenneth Wayne Williams was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1975. Kenneth had worked at 9 firms and has passed the Series 63, Series 7, Series 6 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
March 3, 2011 - July 18, 2012
QUESTAR CAPITAL CORPORATION
March 22, 2006 - December 31, 2009
FORTUNE FINANCIAL SERVICES, INC.
January 29, 2004 - December 31, 2005
INVESTMENT ADVISORS & CONSULTANTS, INC.
July 8, 1999 - December 31, 2003
USALLIANZ SECURITIES, INC.
July 26, 1985 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
July 26, 1985 - March 19, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 26, 1985 - March 19, 1999
OSAIC FA, INC.
March 29, 1985 - September 3, 1985
HORNOR, TOWNSEND & KENT, LLC
September 11, 1975 - June 19, 1977
VP DISTRIBUTORS LLC
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: 9/6/1975
Registered Representative ExaminationCurrent Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
