Individual Firm
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GREGORY DALE WILLIAMS
GREG WILLIAMS
CRD#: 2140295
IA
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RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 1100 RIDGEWAY LOOP ROAD
MEMPHIS, TN 38120
MEMPHIS, TN 38120
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10/15/2003
Customer Dispute
Settled
9/26/2003
Employment Separation After Allegations
State Registrations
B
Arizona 2/13/2017
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Mississippi 2/13/2013
B
Arkansas 2/13/2013
B
New Mexico 1/18/2017
B
California 12/4/2014
B
North Carolina 11/15/2017
B
Colorado 3/16/2015
B
Oklahoma 1/30/2024
B
Florida 2/13/2013
B
South Carolina 11/30/2020
B
Georgia 5/3/2021
B
Tennessee 2/13/2013
B
Louisiana 2/13/2013
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Tennessee 2/13/2013
B
Massachusetts 11/14/2017
B
Texas 11/13/2017
B
Minnesota 5/17/2022
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Texas 4/28/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 2/13/2013
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Registered with this firm since 2/13/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/13/2007 - 02/13/2013 | MEMPHIS, TN | |
B | 02/13/2007 - 02/13/2013 | MEMPHIS, TN | |
IA | 05/03/2005 - 02/13/2007 | BIRMINGHAM, AL | |
B | 12/10/2004 - 02/13/2007 | SOUTHAVEN, MS | |
B | 09/30/2002 - 10/24/2003 | DURHAM, NC | |
B | 04/20/1999 - 09/30/2002 | APPLETON, WI | |
B | 12/08/1997 - 04/19/1999 | FRANKLIN, TN | |
B | 10/02/1995 - 03/06/1997 | NEW YORK, NY | |
B | 05/24/1991 - 10/04/1995 | PURCHASE, NY |
BIRMINGHAM, AL
05/03/2005 - 02/13/2007
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.