Steve Williams is a CFA-designated registered investment advisor, based in Sanford, FL, with 22 years of industry experience. Steve is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Sanford, FL
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Steve has a personal E-Bay account where he sells personal items. This activity takes minimal time and is not investment related.
Employment History
Current Registrations
Ascensus Broker Dealer Services, LLC
Ascensus Broker Dealer Services, LLCBroker
Newport Group Consulting, LLC
Previous Registrations
Newport Group Securities, INC.
Newport Group Securities, INC.Broker
State Registrations2 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.
Exams
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