Gene W. Williams
Professional summary
Gene Wilbur Williams JR, who also goes by Tad Williams Jr, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Rocklin, California.
Gene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Gene has worked at 15 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 4, Series 24, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gene Wilbur Williams JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gene Wilbur Williams JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 3, 2025 - Present
CENTAURUS FINANCIAL, INC.
February 1, 2019 - Present
CENTAURUS FINANCIAL, INC.
February 1, 2019 - November 26, 2024
CENTAURUS FINANCIAL, INC.
April 25, 2013 - February 4, 2019
QUESTAR ASSET MANAGEMENT, INC.
April 22, 2013 - February 4, 2019
QUESTAR CAPITAL CORPORATION
February 9, 2006 - April 24, 2013
WALNUT STREET SECURITIES, INC.
September 3, 1999 - April 24, 2013
WALNUT STREET SECURITIES, INC.
March 25, 1997 - October 8, 1999
SIGNATOR INVESTORS, INC.
March 21, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 27, 1992 - February 11, 1997
FOOTHILL SECURITIES, INC.
May 28, 1991 - November 25, 1991
FIRST COMPASS SECURITIES, INC.
January 22, 1990 - April 1, 1991
FINANCIAL WEST INVESTMENT GROUP
April 19, 1989 - January 9, 1990
FIRST AMERICA EQUITIES CORP.
January 5, 1987 - May 1, 1989
WALL STREET PACIFIC FINANCIAL RESOURCES, INC.
August 13, 1986 - February 9, 1987
INTERCAL SECURITIES CO.
December 17, 1984 - May 28, 1986
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - January 16, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/1/2019)
(2/4/2019)
(2/3/2025)
(2/1/2019)
(2/10/2020)
(8/4/2025)
(9/14/2023)
(2/20/2019)
(2/1/2019)
(5/20/2019)
(2/4/2019)
(2/4/2019)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
