Carl Williams
Carl Williams is a registered investment advisor at Prospera Financial Services, INC., based in Peroria, IL, with 33 years of industry experience. Their practice areas include Estate Planning, Retirement Planning. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Prospera Financial Services offers investment management through various programs. The fees are based on a percentage of your portfolio's value and are negotiable, but the maximum annual fee is 2.15%. The specific fee and services are agreed upon in an advisory agreement. Fees are typically deducted from your account. Some programs may have additional fees, such as transaction costs or sub-account fees. Prospera also participates in revenue sharing with custodians and other third parties, which creates a conflict of interest.
Location
7206 N Terra Vista Dr, Suite 100, Peroria, IL, 61614
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2023Other Business Activities
Carl is a board member for the Peoria Players Theater, a local theatre troupe. He volunteers minimal time to this non-investment related activity.
Employment History
Current Registrations
Prospera Financial Services, INC.Broker
Prospera Financial Services, INC.
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Chapin, DavisBroker
Chapin Davis Asset Management
Williams Investment Network, INC.
First Union Securities, INC.Broker
Robert W. Baird & CO. IncorporatedBroker
Everen Securities, INC.Broker
Shearson Lehman Hutton INC.Broker
E. F. Hutton & Company INCBroker
State Registrations21 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.