Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
STEPHEN JOE WILLIAMS
CRD#: 2395948
IA
B
LIFECOURSE CAPITAL, INC.CRD#: 128583 8331 MADISON BLVD.
SUITE 100
MADISON, AL 35758
SUITE 100
MADISON, AL 35758
NEXT FINANCIAL GROUP, INC.CRD#: 46214 8331 MADISON BLVD
STE 100
MADISON, AL 35758
STE 100
MADISON, AL 35758
View By:
5/3/2007
Regulatory
Final
12/7/2004
Customer Dispute
Award / Judgment
State Registrations
IA
Alabama 2/25/2005
B
Mississippi 1/29/2018
B
Alabama 4/27/2012
B
Missouri 2/2/2007
B
Arizona 2/29/2012
B
New Mexico 1/4/2024
B
Arkansas 1/16/2024
B
New York 6/9/2020
B
California 2/2/2007
B
North Carolina 6/23/2009
B
Colorado 2/2/2007
B
Oklahoma 1/27/2021
B
Florida 2/2/2007
B
Pennsylvania 2/2/2007
B
Georgia 2/2/2007
B
South Carolina 1/19/2021
IA
Georgia 10/1/2013
B
Tennessee 2/2/2007
B
Idaho 12/18/2020
IA
Tennessee 1/24/2011
B
Indiana 2/22/2008
B
Texas 4/30/2011
B
Louisiana 1/4/2008
IA
Texas 7/7/2011
IA
Louisiana 1/14/2011
B
Utah 1/3/2024
B
Maryland 2/2/2007
B
Virginia 2/2/2007
B
Michigan 7/31/2015
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/25/2005
B
Registered with this firm since 2/2/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/02/2003 - 02/01/2007 | HUNTSVILLE, AL | |
IA | 10/06/2003 - 07/09/2004 | HUNTSVILLE, AL | |
IA | 12/03/2001 - 10/01/2003 | HUNTSVILLE, AL | |
B | 11/08/2001 - 10/01/2003 | ST. PETERSBURG, FL | |
B | 01/04/1994 - 11/10/2001 | ST. LOUIS, MO |
For additional information about investment advisers or broker-dealers, please visit
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.