Richard S. 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.
Richard Scott Williams was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1978. Richard had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 15, Series 7, Series 24 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 13, 2011 - November 17, 2012
EMERGING GROWTH EQUITIES, LTD.
August 3, 2007 - November 10, 2009
KEYSTONE ASSET ADVISORS, L.P.
August 3, 2007 - November 10, 2009
THE KEYSTONE EQUITIES GROUP, L.P.
August 11, 2006 - August 10, 2007
REVERE SECURITIES LLC
March 13, 2006 - August 10, 2007
NEWOAK CAPITAL MARKETS LLC
December 10, 2002 - March 15, 2006
PHILADELPHIA BROKERAGE CORPORATION
January 11, 1994 - December 19, 2002
INVESTEC INC.
June 6, 1989 - December 22, 1993
PRUDENTIAL EQUITY GROUP, LLC
October 4, 1984 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
November 27, 1978 - October 3, 1984
A. G. EDWARDS & SONS, 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 15
Date: 1/21/1985
Foreign Currency Options ExaminationSeries 8
Date: 6/8/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EMERGING GROWTH EQUITIES, LTD.
CRD#: 47040 / SEC#: , 8-51642
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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