Glenn A. Williams

A. H. WILLIAMS & COMPANY

HADDONFIELD, NJ 08033

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CRD#: 870216

Professional summary

Glenn Alfred Williams is a registered financial advisor currently at A. H. WILLIAMS & COMPANY, INC. located in Haddonfield, New Jersey.

Glenn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Glenn has worked at 9 firms and has passed the Series 63, Series 65, Series 3, Series 7, Series 52, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

CEO A.H. WILLIAMS & CO LP, REGISTERED INVESTMENT ADVISOR THRU THE SATE OF PENNSYVANIA Owner in part, Nexxt Level Partners. Sponsors the Nexxt Level Total Return Fund, 1650 Market St., 53rd Floor, Philadelphia, PA 19103. Condo association board, Tiburon, Naples, FL34109 GAWMS,LLC holding company for A H Williams, RIA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glenn Alfred Williams'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

November 13, 2003 - Present

A. H. WILLIAMS & COMPANY, INC.

Office #1: 11 E. Mt Vernon Ave, Haddonfield, NJ 08033

RIA

CRD#: 123682

HADDONFIELD, NJ

Past

January 24, 2013 - August 4, 2014

HB SECURITIES, LLC

CRD#: 140356

PHILADELPHIA, PA

Past

February 23, 2009 - April 20, 2012

SLOAN SECURITIES CORP.

CRD#: 17930

PHILADELPHIA, PA

Past

April 26, 2002 - February 23, 2009

GRANT WILLIAMS L.P.

CRD#: 45961

PHILADELPHIA, PA

Past

December 6, 1995 - March 5, 2002

TD WEALTH MANAGEMENT SERVICES INC.

CRD#: 6940

PHILADELPHIA, PA

Past

June 1, 1990 - January 29, 1991

COMMONWEALTH SECURITIES AND INVESTMENTS, INC.

CRD#: 7399

PITTSBURGH, PA

Past

July 5, 1989 - June 25, 1990

WCMI, INC.

CRD#: 24559

Past

October 6, 1987 - April 6, 1989

A. WEBSTER DOUGHERTY & CO., INCORPORATED

CRD#: 7136

Past

November 15, 1982 - September 3, 1987

TD WEALTH MANAGEMENT SERVICES INC.

CRD#: 6940

Past

August 23, 1979 - June 24, 1981

WOLFE & HURST SECURITIES INC.

CRD#: 7352

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(12/20/2010)

IAR

Pennsylvania
(11/13/2003)

IAR

Texas
(4/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/9/1999

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/12/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 8/14/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/3/1998

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 8/18/1979

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/8/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/22/1990

Municipal Securities Principal Examination

Current Firm

A. H. WILLIAMS & COMPANY, INC.

CRD#: 123682 / SEC#:

New Jersey

Registered Investment Advisory firm - (12/20/2010 Approved)

Pennsylvania

Registered Investment Advisory firm - (11/10/2003 Approved)

Texas

Registered Investment Advisory firm - (4/3/2023 Conditional Restricted)

Washington

Registered Investment Advisory firm - (11/29/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Ocean City, NJ

Mailing Address

11 E. Mt Vernon Ave Suite A, Haddonfield, NJ 08033

Phone number

(215) 569-9800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	63
AUM (Assets Under Management)	$ 69,776,599

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Glenn A. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glenn Alfred Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

HB SECURITIES, LLC

SLOAN SECURITIES CORP.

GRANT WILLIAMS L.P.

TD WEALTH MANAGEMENT SERVICES INC.

COMMONWEALTH SECURITIES AND INVESTMENTS, INC.

WCMI, INC.

A. WEBSTER DOUGHERTY & CO., INCORPORATED

TD WEALTH MANAGEMENT SERVICES INC.

WOLFE & HURST SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/9/1999

Series 65

Date: 11/12/1997

Series 3

Date: 8/14/2002

Series 7

Date: 2/3/1998

Series 52

Date: 8/18/1979

Series 24

Date: 6/8/1998

Series 53

Date: 10/22/1990

Current Firm

A. H. WILLIAMS & COMPANY, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

A. H. WILLIAMS & COMPANY, INC.

TRUST BUT VERIFY

Contact information

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