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Bethany Waters Williams
BETHANY WATERS WILLIAMS, BETHANY WILLIAMS
CRD#: 6039491
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1985 EASTWOOD ROAD
WILMINGTON, NC 28403
WILMINGTON, NC 28403
0
Disclosures
12
Years of Experience
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State Registrations
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Michigan 10/4/2017
IA
North Carolina 10/4/2017
B
North Carolina 10/4/2017
IA
Texas 10/4/2017
SRO Registrations
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IA
Registered with this firm since 10/4/2017
B
Registered with this firm since 10/4/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/11/2012 - 10/02/2017 | WILMINGTON, NC | |
B | 09/25/2012 - 10/02/2017 | WILMINGTON, NC |
WILMINGTON, NC
12/11/2012 - 10/02/2017
WILMINGTON, NC
09/25/2012 - 10/02/2017
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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.