David Williams is a CFP-designated registered investment advisor, based in Santa Rosa, CA, with 36 years of industry experience.
Location
Santa Rosa, CA
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Regulatory History (1)
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Customer Dispute
April 2003Denied
Other Business Activities
David works as an advisory representative of an RIA, spending full-time hours on this activity. He dedicates nearly full-time hours specifically to trading.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
May 2024 - Present · 2 yrs 4 mos
Cambridge Investment Research Advisors, INC.
May 2024 - Present · 2 yrs 4 mos
Previous Registrations
LPL Financial LLC
November 2017 - May 2024 · 6 yrs 6 mos
LPL Financial LLCBroker
November 2017 - May 2024 · 6 yrs 6 mos
National Planning Corporation ("npc of America" in Fl & Ny)
June 2003 - December 2017 · 14 yrs 6 mos
National Planning CorporationBroker
May 2000 - November 2017 · 17 yrs 6 mos
Associated Securities CORP.Broker
March 1997 - May 2000 · 3 yrs 2 mos
Ids Life Insurance CompanyBroker
May 1989 - March 1997 · 7 yrs 10 mos
American Express Financial Advisors INC.Broker
May 1989 - March 1997 · 7 yrs 10 mos
State Registrations24 states
AZCACOCTDCFLHIIAIDMDMEMIMSMTNCNHNVNYOHORPASCVAWA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.