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FIRM PROFILE
Overview
WILLIAMS TRADING LLC is located at 450 Post Road East Suite 120, Westport, CT 06880 and was first established at Boston, Connecticut in 12/31/2010. After operating for 15 years, WILLIAMS TRADING LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of WILLIAMS TRADING LLC’s clients are individuals and 0% of their clients are high net worth individuals. WILLIAMS TRADING LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at WILLIAMS TRADING LLC are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access WILLIAMS TRADING LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at WILLIAMS TRADING LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for WILLIAMS TRADING LLC Comes From
Understanding the Statistics for WILLIAMS TRADING LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
450 Post Road East Suite 120, Westport, CT 06880
450 Post Road East Suite 120, Westport, CT 06880
Small
(203) 353-7600
Connecticut since 12/31/2010
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| WILLIAMS, DAVID BREWSTER | MANAGING MEMBER/GENERAL SECURITIES PRINCIPAL | 1715713 | |
| GOERTZ, JOSEPH THOMAS | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | 5607738 | |
| MARCIANO, LANCE DANIEL | CHIEF OPERATING OFFICER | 2261020 | |
| MOONEY, MATTHEW BRIAN | REGISTERED OPTIONS PRINCIPAL | 3100953 | |
| MOROVATI, BABAK BOBBY | CFO/FINANCIAL OPERATIONS PRINCIPAL/PFO/POO | 5650049 |
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Advisor's working at WILLIAMS TRADING LLC
David Brewster Williams
Clifford Fowler Blaze JR
Lance Daniel Marciano
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