Roy Williams
Roy Williams is a registered investment advisor at Kcd Financial, INC., based in Stratford, CT, with 42 years of industry experience. Roy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 1,145 clients with $180M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
KCD Financial offers asset management programs where fees are a percentage of the assets they manage. This fee can range from 0.5% to 3% annually, as agreed upon between you and KCD. The smaller your portfolio, the larger the percentage you might pay, and vice versa. The specific fee structure will be detailed in your Investment Advisory Services Agreement.
Location
3200 Main Street, Stratford, CT, 06614
Get directionsHistory
Regulatory History (11)
Customer Dispute
July 2025Customer Dispute
November 2024Customer Dispute
June 2022Customer Dispute
May 2020Customer Dispute
November 2017Customer Dispute
March 2017Regulatory
March 2016Customer Dispute
December 2011Customer Dispute
May 2011Customer Dispute
May 2010Customer Dispute
December 2006Other Business ActivitiesSells Insurance
Roy sells life insurance, long-term care insurance, and fixed annuities under the name Williams Financial Group since 2001. This activity takes nearly full-time.
Employment History
Current Registrations
Kcd Financial, INC.
Kcd Financial, INC.
Kcd Financial, INC.Broker
Previous Registrations
Center Street Advisors, INC.
Center Street Securities, INC.Broker
Edi Investment Advisor Corporation
Edi Investment Advisor Corporation
Edi Financial, INC.Broker
Harvest Capital Advisors, LLC
Harvest Capital LLCBroker
Usallianz Securities, INC.Broker
Washington Square Securities, INC.Broker
Mony Securities CorporationBroker
1717 Capital Management CompanyBroker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.