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Roger Williams
22 Years of Experience
Greenville, SC
7 DisclosuresBroker
Roger Williams is a registered investment advisor at Raymond James & Associates, INC., based in Greenville, SC, with 22 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
112 Haywood Road, Greenville, SC, 29607
Get directionsHistory
Regulatory History (7)
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
August 2012Final
Customer Dispute
April 2011Settled
Customer Dispute
June 2010Denied
Customer Dispute
May 2010Settled
Customer Dispute
February 2010Settled
Customer Dispute
February 2010Settled
Customer Dispute
June 2009Settled
Other Business Activities
Roger owns two rental real estate properties, one in Greenville, SC and one in Bluffton, SC. He spends minimal time on these activities.
Employment History
Current Registrations
Raymond James & Associates, INC.
April 2013 - Present · 13 yrs 1 mo
Raymond James & Associates, INC.
April 2012 - Present · 14 yrs 1 mo
Raymond James & Associates, INC.Broker
April 2012 - Present · 14 yrs 1 mo
Previous Registrations
Raymond James & Associates, INC.
August 2012 - April 2013 · 8 mos
Morgan Keegan & Company, INC.
April 2003 - March 2013 · 9 yrs 11 mos
Morgan Keegan & Company, INC.Broker
March 2003 - March 2013 · 10 yrs
State Registrations48 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNJNMNVNYOHOKORPARISCTNTXUTVAVTVirgin IslandsWAWIWVWY
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.