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Detailed Report
KEVIN ANTONY WILLIAMS
CRD#: 2159172
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
199019921994199619982000200220042006200820102012IANORTH WEALTH MANAGEMENT COMPAN... (CRD# 145434)2007 - 2011 (4 years)IAASSET MANAGEMENT STRATEGIES, L... (CRD# 124617)2006 - 2011 (4 years)IAINVESTORS CAPITAL ADVISORY (CRD# 30613)2006 - 2006 (<1 year)
Disclosure(s)
View By:
1/30/2012
Regulatory
Final
11/18/2010
Regulatory
Final
9/18/2009
Customer Dispute
Award / Judgment
2/23/1989
Criminal
Final Disposition
Previous Registration(s)
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 11/09/2007 - 12/31/2011 NORTH WEALTH MANAGEMENT COMPANY, LLC (CRD#:145434) RIVERSIDE, CA
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 09/05/2006 - 06/07/2011 ASSET MANAGEMENT STRATEGIES, L.L.C. (CRD#:124617) LA JOLLA, CA
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 03/03/2006 - 08/07/2006 INVESTORS CAPITAL ADVISORY (CRD#:30613) ANAHEIM HILLS, CA
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.