Individual Firm
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TODD ANTHONY WILLIAMS
CRD#: 2310054
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1900 VILLAGE CENTER CIR
LAS VEGAS, NV 89134
LAS VEGAS, NV 89134
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1/31/2005
Customer Dispute
Settled
4/29/2002
Customer Dispute
Settled
State Registrations
B
Arizona 3/14/2013
B
New Jersey 9/30/2021
B
California 2/27/2013
B
New York 2/27/2013
B
Colorado 3/12/2021
B
North Carolina 10/15/2013
B
Connecticut 2/7/2023
B
Ohio 8/8/2024
B
Florida 8/18/2017
B
Oklahoma 9/30/2021
B
Georgia 12/17/2018
B
Oregon 8/7/2024
B
Hawaii 8/21/2017
B
Pennsylvania 1/19/2023
B
Idaho 1/31/2024
B
Tennessee 4/8/2021
B
Kentucky 9/11/2024
B
Texas 12/1/2015
B
Minnesota 3/4/2013
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Texas 12/1/2015
B
Missouri 5/31/2017
B
Utah 8/16/2017
B
Montana 6/26/2024
B
Virginia 2/27/2013
B
Nevada 1/3/2011
B
Washington 2/27/2013
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Nevada 1/3/2011
B
Wyoming 5/8/2023
SRO Registrations
B
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B
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IA
Registered with this firm since 1/3/2011
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Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/05/2006 - 01/03/2011 | LAS VEGAS, NV | |
B | 10/05/2006 - 01/03/2011 | LAS VEGAS, NV | |
IA | 03/21/2005 - 10/10/2006 | LAS VEGAS, NV | |
B | 03/16/2005 - 10/10/2006 | LAS VEGAS, NV | |
IA | 10/20/2004 - 03/16/2005 | LAS VEGAS, NV | |
B | 10/20/2004 - 03/16/2005 | BOSTON, MA | |
IA | 02/19/2004 - 10/20/2004 | LAS VEGAS, NV | |
B | 02/19/2004 - 10/20/2004 | NEW YORK, NY | |
IA | 11/13/2003 - 02/27/2004 | LAS VEGAS, NV | |
B | 02/11/2000 - 02/27/2004 | ST. LOUIS, MO | |
B | 02/12/1993 - 02/08/2000 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.