Andrew Williams is a registered investment advisor, based in Austin, TX, with 35 years of industry experience.
Location
5707 Southwest Parkway, Building 2, Suite 400, Austin, TX, 78735
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2006Denied
Customer Dispute
November 1999Settled
Other Business Activities
Andrew owns Williams Wealth Management Group, where he works nearly full-time as a registered representative and provides investment advisory services through Kestra Investment Services and Kestra Advisory Services. He also works as a Senior Financial Advisor for Kestra Advisory Services, dedicating about half his time to servicing and prospecting clients.
Employment History
Current Registrations
Kestra Advisory Services, LLC
August 2017 - Present · 8 yrs 9 mos
Kestra Investment Services, LLCBroker
August 2017 - Present · 8 yrs 9 mos
Previous Registrations
Wfg Advisors, LP
January 2010 - August 2017 · 7 yrs 7 mos
Wfg Investments, INC.Broker
January 2010 - August 2017 · 7 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2007 - January 2010 · 2 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2007 - January 2010 · 2 yrs 5 mos
Morgan Stanley & CO., Incorporated
April 2007 - September 2007 · 5 mos
Morgan Stanley & CO., IncorporatedBroker
April 2007 - September 2007 · 5 mos
Morgan Stanley Dw INC.Broker
November 2003 - April 2007 · 3 yrs 5 mos
Morgan Stanley
November 2003 - April 2007 · 3 yrs 5 mos
Southwest Securities, INC.Broker
January 2001 - November 2003 · 2 yrs 10 mos
Southwest Securities, INC.
January 2001 - November 2003 · 2 yrs 10 mos
Prudential Securities IncorporatedBroker
June 1999 - January 2001 · 1 yr 7 mos
Painewebber IncorporatedBroker
April 1993 - July 1999 · 6 yrs 3 mos
Lehman Brothers INC.Broker
December 1990 - April 1993 · 2 yrs 4 mos
State Registrations23 states
ALARAZCACODCFLGAIAKYLAMDMNMONCNJNMOHOKSCTXVAWA
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.