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Daphne Lynette Williams

Alliance-ONE Investments, LLC

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About Daphne Lynette Williams

Daphne Williams is a financial advisor with Alliance-ONE Investments, LLC. She has been working in the financial services industry since 2006 and holds licenses for the Series 6, 7 and 63 exams. She is registered with FINRA. Previously, Daphne held positions at MetLife Investors Distribution Company, MetLife Securities, Inc, New England Securities, TIAA-CREF Individual & Institutional Services, LLC and LPL Financial Corporation.

Firm Information

Daphne Williams is currently registered with Alliance-ONE Investments, LLC. Alliance-ONE Investments, LLC is a Limited Liability Company formed on October 20, 2016. The firm is registered with the SEC and has one approved registration.

Not reported

Assets Under Management

Not reported

Total Clients

428

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Daphne Williams’s Registration & Firm History

OK

08/11/2017 - Present

Alliance-ONE Investments, LLC (Tulsa OK)

NC

01/10/2014 - 08/11/2017

METLIFE INVESTORS DISTRIBUTION COMPANY (CHARLOTTE NC)

NC

02/20/2014 - 06/30/2016

METLIFE SECURITIES, INC (CHARLOTTE NC)

NC

02/20/2014 - 01/02/2015

NEW ENGLAND SECURITIES (CHARLOTTE NC)

NC

04/05/2013 - 09/05/2013

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)

NC

09/26/2007 - 10/01/2008

LPL FINANCIAL CORPORATION (CHARLOTTE NC)

NC

01/01/2004 - 08/31/2007

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)

NY

10/02/2002 - 01/01/2004

TEACHERS PERSONAL INVESTORS SERVICES, INC. (NEW YORK NY)

ME

01/14/2002 - 09/13/2002

PFPC DISTRIBUTORS, INC. (PORTLAND ME)

NJ

09/07/2000 - 08/02/2001

CSFBDIRECT, INC. (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 04/15/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/04/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 09/06/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Daphne Lynette Williams.
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