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Detailed Report
TIMOTHY BRIAN WILLIAMS
CRD#: 1965284
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 950 TRADE CENTER WAY
SUITE 305
PORTAGE, MI 49002
Registration History
199019952000200520102015202020252 FIRMS2021 - Present (4 years)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)1990 - 2021 (31 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2002 - 2002 (<1 year)IAROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2010 - 2021 (10 years)
Disclosure(s)
View By:
9/17/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Arkansas 3/19/2021
IA
Michigan 3/19/2021
B
Colorado 3/19/2021
B
Minnesota 4/8/2021
B
Florida 3/19/2021
B
Ohio 8/16/2023
IA
Florida 3/22/2021
B
South Carolina 3/19/2021
B
Georgia 3/30/2021
IA
Texas 3/19/2021
B
Illinois 4/9/2021
B
Texas 8/12/2024
B
Indiana 4/7/2021
B
Virginia 10/23/2024
B
Michigan 3/19/2021

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
950 TRADE CENTER WAY SUITE 305, PORTAGE, MI 49002
Registered with this firm since 3/19/2021
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
950 TRADE CENTER WAY SUITE 305, PORTAGE, MI 49002
Registered with this firm since 3/19/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/05/2010 - 04/07/2021 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) KALAMAZOO, MI
B
 01/25/1990 - 04/07/2021 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) KALAMAZOO, MI
B
 01/02/2002 - 02/14/2002 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MILWAUKEE, WI
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.