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JAMES HURSEL WILLIAMS
CRD#: 1687805
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 5776 STONERIDGE MALL RD, #270
PLEASANTON, CA 94588
Registration History
199019952000200520102015202020252 FIRMS1990 - 1992 (2 years)2 FIRMS2023 - Present (1 year)BAMERICAN INVESTORS COMPANY (CRD# 38)1995 - 2023 (28 years)BFOOTHILL SECURITIES, INC. (CRD# 1027)1994 - 1995 (1 year)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1994 - 1994 (<1 year)BCYPRESS CAPITAL CORPORATION (CRD# 7919)1993 - 1994 (<1 year)BSOARES FINANCIAL GROUP, INC. (CRD# 16286)1992 - 1993 (<1 year)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1987 - 1990 (2 years)BFINANCIAL PLANNERS EQUITY CORP... (CRD# 7420)1987 - 1987 (<1 year)IAAMERICAN INVESTORS CO (CRD# 38)1998 - 2023 (25 years)
Disclosure(s)
View By:
2/16/2007
Customer Dispute
Closed-No Action
11/25/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 10/6/2023

B
Oregon 9/25/2023

B
California 7/24/2023

B
Tennessee 1/11/2024

IA
California 7/26/2023

B
Texas 9/23/2023

B
Idaho 9/25/2023

B
Virginia 9/25/2023

B
Nevada 10/2/2023

B
Washington 9/22/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
5776 STONERIDGE MALL RD, #270, PLEASANTON, CA 94588
Registered with this firm since 7/26/2023

B
LPL FINANCIAL LLC (CRD#:6413)
5776 STONERIDGE MALL RD, #270, PLEASANTON, CA 94588
Registered with this firm since 7/24/2023

Previous Registration(s)
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IA
03/30/1998 - 07/24/2023 AMERICAN INVESTORS CO (CRD#:38) PLEASANTON, CA
B
03/31/1995 - 07/24/2023 AMERICAN INVESTORS COMPANY (CRD#:38) PLEASANTON, CA
B
01/28/1994 - 04/11/1995 FOOTHILL SECURITIES, INC. (CRD#:1027) SANTA CLARA, CA
B
01/01/1994 - 01/31/1994 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
06/17/1993 - 01/01/1994 CYPRESS CAPITAL CORPORATION (CRD#:7919)
B
09/09/1992 - 06/22/1993 SOARES FINANCIAL GROUP, INC. (CRD#:16286)
B
09/21/1990 - 09/29/1992 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
09/21/1990 - 09/29/1992 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
B
12/24/1987 - 09/13/1990 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
09/22/1987 - 12/08/1987 FINANCIAL PLANNERS EQUITY CORPORATION (CRD#:7420)
FINRA expelled the firm on 08/25/1988
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B
Broker
IA
Investment Adviser
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.