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Detailed Report
GREGORY LANCE WILLIAMS
GREG WILLIAMS
CRD#: 5697949
IA
Investment Adviser
B
Broker
WELLINGTON MANAGEMENT COMPANY LLPCRD#: 106595 222 WEST ADAMS STREET
SUITE 2100
CHICAGO, IL 60606
WELLINGTON FUNDS DISTRIBUTORS INC.CRD#: 152768 345 NORTH MORGAN STREET
4TH FLOOR
CHICAGO, IL 60607
Registration History
201020122014201620182020202220242026IAWELLINGTON MANAGEMENT COMPANY LLP (CRD# 106595)2014 - Present (11 years)BWELLINGTON FUNDS DISTRIBUTORS INC. (CRD# 152768)2012 - Present (12 years)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)2009 - 2012 (2 years)
License(s)

State Registrations

B
Alabama 3/31/2014
B
Missouri 6/25/2015
B
Georgia 6/25/2015
B
North Carolina 6/25/2015
B
Illinois 5/11/2012
B
South Carolina 6/25/2015
B
Kansas 6/25/2015
IA
Texas 1/17/2014
B
Louisiana 7/9/2012
B
Texas 6/25/2015
B
Mississippi 7/9/2012

SRO Registrations

B
 FINRA

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
WELLINGTON MANAGEMENT COMPANY LLP (CRD#:106595)
222 WEST ADAMS STREET SUITE 2100, CHICAGO, IL 60606
Registered with this firm since 1/17/2014
B
WELLINGTON FUNDS DISTRIBUTORS INC. (CRD#:152768)
345 NORTH MORGAN STREET 4TH FLOOR, CHICAGO, IL 60607
Lake Forest, IL
Registered with this firm since 5/11/2012
Previous Registration(s)
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B
 08/19/2009 - 04/26/2012 NORTHERN TRUST SECURITIES, INC. (CRD#:7927) CHICAGO, IL
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.