Richard Scott Williams
Professional Summary
Richard Scott Williams was a registered financial advisor. Richard was a previously registered financial advisor and started their career in finance 1978 - 2012. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
48 years in the financial services industry
Current & Past Employments
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Current Firm
EMERGING GROWTH EQUITIES, LTD.
Contact Information
Established
Pennsylvania since 01/26/1999Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Jan 1985Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jun 1987Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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