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Detailed Report
RALPH BERTRAM WILLIAMS III
R. BERTRAM WILLIAMS III, RALPH BERTRAM WILLIAMS
CRD#: 866490
IA
Investment Adviser
B
Broker
COMMONWEALTH FINANCIAL NETWORKCRD#: 8032 2715 Ashton Drive
SUITE 102
WILMINGTON, NC 28412
Registration History
19801985199019952000200520102015202020252 FIRMS2012 - Present (13 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)1999 - 2012 (12 years)BFIRST UNION CAPITAL MARKETS CORP. (CRD# 6124)1979 - 1999 (20 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2001 - 2012 (10 years)
Disclosure(s)
View By:
8/23/2010
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 5/5/2014
B
Michigan 4/20/2012
B
California 12/3/2015
B
North Carolina 4/20/2012
B
Connecticut 4/20/2012
IA
North Carolina 4/20/2012
B
Florida 4/20/2012
B
Ohio 4/14/2014
B
Georgia 1/12/2016
B
South Carolina 4/20/2012
B
Indiana 8/23/2017
B
Tennessee 1/2/2015
B
Kentucky 8/19/2019
B
Utah 5/28/2024

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
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
2715 Ashton Drive SUITE 102, WILMINGTON, NC 28412
2715 Ashton Drive Suite 106, Wilmington, NC 28412
Registered with this firm since 4/20/2012
B
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
2715 Ashton Drive SUITE 102, WILMINGTON, NC 28412
2715 Ashton Drive Suite 106, Wilmington, NC 28412
Registered with this firm since 4/20/2012
Previous Registration(s)
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IA
 12/31/2001 - 04/23/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) WILMINGTON, NC
B
 10/01/1999 - 04/23/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) WILMINGTON, NC
B
 05/24/1979 - 10/01/1999 FIRST UNION CAPITAL MARKETS CORP. (CRD#:6124) CHARLOTTE, NC
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.