Ernest W. Williams

SECURITIES CLUB BROKER-DEALER

PALM BEACH, FL 33480

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CRD#: 861627

Professional summary

Ernest W Williams III, who also goes by Ernest W Williams Jr, Ernest Wallace Williams Jr, Ernest W Williams, Ernest Wallace Williams, is a registered financial professional currently at SECURITIES CLUB BROKER-DEALER, LLC located in Palm Beach, Florida.

Ernest is registered as a RR (Registered Representative) and started their career in finance in 1979. Ernest has worked at 23 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ernest W Williams Jr | Ernest Wallace Williams Jr | Ernest W Williams | Ernest Wallace Williams

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ernest W Williams III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 23, 2025 - Present

SECURITIES CLUB BROKER-DEALER, LLC

Office #1: 250 Royal Palm Way Suite 306b, Palm Beach, FL 33480

CRD#: 284893

PALM BEACH, FL

Past

November 2, 2023 - May 28, 2025

OPTIONALITY SECURITIES

CRD#: 313329

WEST CONSHOHOCKEN, PA

Past

February 6, 2023 - October 26, 2023

QUOIN CAPITAL LLC

CRD#: 136160

WAYNE, PA

Past

January 6, 2020 - November 9, 2021

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

Past

April 9, 2018 - January 6, 2020

TIGRESS FINANCIAL PARTNERS, LLC

CRD#: 154717

NEW YORK, NY

Past

January 30, 2018 - March 15, 2018

NYLIFE SECURITIES LLC

CRD#: 5167

LAKE SUCCESS, NY

Past

September 7, 2016 - October 2, 2017

GLOBAL EMERGING CAPITAL GROUP, LLC

CRD#: 130120

NEW YORK, NY

Past

July 15, 2013 - August 18, 2016

TIGRESS FINANCIAL PARTNERS, LLC

CRD#: 154717

NEW YORK, NY

Past

June 7, 2010 - January 3, 2012

LITTLE RIVER CAPITAL, LLC

CRD#: 118917

NEW YORK, NY

Past

March 19, 2009 - June 5, 2009

ESPOSITO SECURITIES, LLC

CRD#: 143710

DALLAS, TX

Past

June 4, 2008 - March 2, 2009

BIRCHWOOD SECURITIES CORP.

CRD#: 17066

MEDFORD, NJ

Past

May 9, 2006 - July 7, 2008

AUBREY & COMPANY

CRD#: 127842

YORK, PA

Past

October 12, 2005 - May 3, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NYC, NY

Past

June 21, 2005 - May 3, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

March 14, 2005 - June 21, 2005

MULTITRADE SECURITIES LLC

CRD#: 47485

NEW YORK, NY

Past

July 29, 2003 - March 11, 2005

NEOVEST TRADING

CRD#: 39798

NEW YORK, NY

Past

May 29, 2002 - October 21, 2002

WALL STREET ACCESS

CRD#: 10012

NEW YORK, NY

Past

May 15, 2002 - June 5, 2002

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

SYOSSET, NY

Past

May 4, 2001 - March 16, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 22, 2000 - May 1, 2000

VIE INSTITUTIONAL SERVICES, INC.

CRD#: 47437

PHILADELPHIA, PA

Past

June 14, 1999 - February 16, 2000

REB SECURITIES, INC.

CRD#: 45466

PHILADELPHIA, PA

Past

June 14, 1999 - March 14, 2000

BIRCHWOOD SECURITIES CORP.

CRD#: 17066

MEDFORD, NJ

Past

June 6, 1996 - October 17, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 24, 1990 - September 13, 1995

REUTERS C CORPORATION

CRD#: 14408

NEW YORK, NY

Past

January 3, 1985 - July 18, 1985

ADVEST, INC.

CRD#: 10

Past

September 13, 1983 - January 22, 1985

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

January 29, 1979 - April 16, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 9/8/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/24/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/21/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/15/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SECURITIES CLUB BROKER-DEALER, LLC

BLUESQUARE CAPITAL ADVISORS, LLC | SECURITIES CLUB BROKER-DEALER, LLC

CRD#: 284893 / SEC#: , 8-69814

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

250 Royal Palm Way Suite 306b, Palm Beach, FL 33480

Mailing Address

250 Royal Palm Way Suite 306b, Palm Beach, FL 33480

Phone number

(917) 515-7054

Established

New York since 05/18/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SECURITIES CLUB CORPORATION	HOLDING COMPANY & 100% DIRECT OWNER
AVELLO, NICHOLAS T	PRINCIPAL FINANCIAL OFFICER & FINOP	1488144
ROCKWELL, ANNABELLA CAMPBELL	PRESIDENT & CEO	6786408
WILLIAMS, ERNEST W III	CHIEF COMPLIANCE OFFICER	861627

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Ernest W. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ernest W Williams III's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPTIONALITY SECURITIES

QUOIN CAPITAL LLC

SPARTAN CAPITAL SECURITIES, LLC

TIGRESS FINANCIAL PARTNERS, LLC

NYLIFE SECURITIES LLC

GLOBAL EMERGING CAPITAL GROUP, LLC

TIGRESS FINANCIAL PARTNERS, LLC

LITTLE RIVER CAPITAL, LLC

ESPOSITO SECURITIES, LLC

BIRCHWOOD SECURITIES CORP.

AUBREY & COMPANY

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MULTITRADE SECURITIES LLC

NEOVEST TRADING

WALL STREET ACCESS

DAVID LERNER ASSOCIATES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

VIE INSTITUTIONAL SERVICES, INC.

REB SECURITIES, INC.

BIRCHWOOD SECURITIES CORP.

UBS FINANCIAL SERVICES INC.

REUTERS C CORPORATION

ADVEST, INC.

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 9/8/2008

Series 65

Date: 5/24/2001

SIE

Date: 10/1/2018

Series 7

Date: 4/21/1990

Series 24

Date: 9/15/2006

FINRA

Current Firm

SECURITIES CLUB BROKER-DEALER, LLC

Contact information

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SECURITIES CLUB BROKER-DEALER, LLC

TRUST BUT VERIFY

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