David R. Mcwilliams
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 R Mcwilliams, who also goes by David Reid Mcwilliams, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1978. David had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2019 - December 21, 2020
SNOWDEN ACCOUNT SERVICES LLC
May 5, 2009 - June 28, 2016
UBS FINANCIAL SERVICES INC.
May 4, 2009 - June 28, 2016
UBS FINANCIAL SERVICES INC.
February 9, 1993 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1978 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 8
Date: 3/18/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SNOWDEN ACCOUNT SERVICES LLC
CRD#: 149794 / SEC#: , 8-68188
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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