DW
DW
David Williams
33 Years of Experience
Fairhope, AL
2 DisclosuresBroker
David Williams is a registered investment advisor at Raymond James & Associates, INC., based in Fairhope, AL, with 33 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
101 Lottie Lane, Suite 4, Fairhope, AL, 36532
Get directionsHistory
Regulatory History (2)
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Customer Dispute
September 2011Denied
Customer Dispute
November 2002Settled
Other Business Activities
David is involved in agriculture/farming at Rosewood Plantation since 2016. He dedicates minimal time to this activity, and it is not investment-related.
Employment History
Current Registrations
Raymond James & Associates, INC.
September 2014 - Present · 11 yrs 8 mos
Raymond James & Associates, INC.Broker
September 2014 - Present · 11 yrs 8 mos
Previous Registrations
RBC Capital Markets, LLCBroker
March 2007 - October 2014 · 7 yrs 7 mos
RBC Capital Markets, LLC
March 2007 - October 2014 · 7 yrs 7 mos
Morgan Keegan & Company, INC.
February 2007 - March 2007 · 1 mo
Morgan Keegan & Company, INC.Broker
February 2007 - March 2007 · 1 mo
Amsouth Investment Management Company LLC
July 2003 - February 2007 · 3 yrs 7 mos
Amsouth Investment Services, INC.
August 2000 - September 2003 · 3 yrs 1 mo
Amsouth Investment Services, INC.Broker
February 1996 - February 2007 · 11 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1992 - January 1996 · 3 yrs 3 mos
State Registrations21 states
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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.