Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Michael Williams is an investment professional with over 30 years of experience in the financial services industry. Carl Michael Williams is registered with Prospera Financial Services, Inc. and holds a Series 7, Series 3, Series 63 and Series 65. Carl Michael Williams specializes in providing financial planning services to individuals, businesses, and retirement plans. Carl Michael Williams has been active in the industry since 1992 and has held various positions at prominent firms such as LPL FINANCIAL LLC, Chapin, Davis, First Union Securities, Inc., Robert W. Baird & Co. Incorporated, and Everen Securities, Inc..
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Percentage of assets under review
1
2
IL
06/17/2024 - Present
Prospera Financial Services, Inc. (Peroria IL)
IL
04/16/2020 - 04/23/2024
LPL FINANCIAL LLC (PEORIA IL)
IL
03/04/2015 - 04/17/2020
CHAPIN, DAVIS (PEORIA IL)
MO
10/26/1994 - 05/24/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
WI
06/16/1994 - 10/31/1994
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
MO
01/07/1994 - 06/03/1994
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NY
04/11/1988 - 02/14/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
08/18/1987 - 04/11/1988
E. F. HUTTON & COMPANY INC
BC
Issued 10/18/2018
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/16/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/2015
Series 7 - General Securities Representative Examination
BC
Issued 10/07/1987
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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