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Detailed Report
JOSEPH EDWARD WILLIAMS
JOSEPH E WILLIAMS, JOSEPH EDWARD WILLIAMS JR, JOSEPH WILLIAMS
CRD#: 1581051
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 3965 Dallas Parkway
Frisco Hub
Frisco, TX 75034
Registration History
199019952000200520102015202020252 FIRMS2020 - 2024 (3 years)2 FIRMS2024 - Present (<1 year)BHIBERNIA SOUTHCOAST CAPITAL, INC. (CRD# 44158)2000 - 2005 (5 years)BBANCBOSTON SECURITIES INC. (CRD# 41271)1997 - 1997 (<1 year)BFIRST CHICAGO CAPITAL MARKETS,... (CRD# 23065)1993 - 1996 (3 years)BFIRST CHICAGO INVESTMENT SERVI... (CRD# 17516)1989 - 1989 (<1 year)BSALOMON BROTHERS INC. (CRD# 740)1986 - 1987 (1 year)
License(s)

State Registrations

B
Alabama 3/28/2024
B
Montana 3/28/2024
B
Alaska 3/28/2024
B
Nebraska 3/28/2024
B
Arizona 3/28/2024
B
Nevada 3/28/2024
B
Arkansas 3/28/2024
B
New Hampshire 3/28/2024
B
California 3/28/2024
B
New Jersey 3/28/2024
B
Colorado 3/28/2024
B
New Mexico 3/28/2024
B
Connecticut 3/28/2024
B
New York 3/28/2024
B
Delaware 3/28/2024
B
North Carolina 3/28/2024
B
District of Columbia 3/28/2024
B
North Dakota 3/28/2024
B
Florida 3/28/2024
B
Ohio 3/28/2024
B
Georgia 3/28/2024
B
Oklahoma 3/28/2024
B
Hawaii 3/28/2024
B
Oregon 3/28/2024
B
Idaho 3/28/2024
B
Pennsylvania 3/28/2024
B
Illinois 3/28/2024
B
Rhode Island 3/28/2024
B
Indiana 3/28/2024
B
South Carolina 3/28/2024
B
Iowa 3/28/2024
B
South Dakota 3/28/2024
B
Kansas 3/28/2024
B
Tennessee 3/28/2024
B
Kentucky 3/28/2024
B
Texas 3/28/2024
B
Louisiana 3/28/2024
IA
Texas 4/1/2024
B
Maine 3/28/2024
B
Utah 3/28/2024
B
Maryland 3/28/2024
B
Vermont 3/28/2024
B
Massachusetts 3/28/2024
B
Virginia 3/28/2024
B
Michigan 3/28/2024
B
Washington 3/28/2024
B
Minnesota 3/28/2024
B
West Virginia 3/28/2024
B
Mississippi 3/28/2024
B
Wisconsin 3/28/2024
B
Missouri 3/28/2024
B
Wyoming 3/28/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
3965 Dallas Parkway Frisco Hub, Frisco, TX 75034
Aubrey, TX
Registered with this firm since 4/1/2024
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
3965 Dallas Parkway Frisco Hub, Frisco, TX 75034
Aubrey, TX
Registered with this firm since 3/28/2024
Previous Registration(s)
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IA
 10/06/2020 - 03/14/2024 MORGAN STANLEY (CRD#:149777) Dallas, TX
B
 08/03/2020 - 03/14/2024 MORGAN STANLEY (CRD#:149777) Dallas, TX
B
 10/10/2000 - 11/21/2005 HIBERNIA SOUTHCOAST CAPITAL, INC. (CRD#:44158) MANDEVILLE, LA
B
 02/13/1997 - 04/15/1997 BANCBOSTON SECURITIES INC. (CRD#:41271) SAN FRANCISCO, CA
B
 02/25/1993 - 08/30/1996 FIRST CHICAGO CAPITAL MARKETS, INC. (CRD#:23065) CHICAGO, IL
B
 02/07/1989 - 07/26/1989 FIRST CHICAGO INVESTMENT SERVICES, INC. (CRD#:17516) CHICAGO, IL
B
 11/18/1986 - 11/20/1987 SALOMON BROTHERS INC. (CRD#:740)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.