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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rodney? Claim Your ProfileRodney David Williams is a financial advisor based in Houston, Texas. Rodney has been in the financial services industry since 1996. He has a wide range of experience, having worked at several prominent firms including Wells Fargo Clearing Services, LLC, J.P. Morgan Securities LLC, Chase Investment Services Corp., and Lincoln Financial Distributors, Inc. Currently, Rodney is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as a Registered Representative. Rodney is dedicated to providing his clients with customized financial solutions.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TX
10/12/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
03/15/2013 - 08/04/2022
WELLS FARGO CLEARING SERVICES, LLC (HOUSTON TX)
TX
10/01/2012 - 03/19/2013
J.P. MORGAN SECURITIES LLC (HOUSTON TX)
TX
10/28/2003 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (HOUSTON TX)
PA
04/24/2001 - 07/22/2003
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
CA
10/12/2000 - 03/14/2001
TRANSAMERICA FINANCIAL ADVISORS, INC. (LOS ANGELES CA)
CA
04/29/1996 - 12/01/1998
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
NJ
11/29/1994 - 02/21/1996
PRUCO SECURITIES CORPORATION (NEWARK NJ)
TX
11/04/1993 - 07/27/1994
HART SECURITIES, INC. (HOUSTON TX)
BOTH
Issued 06/02/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/16/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/08/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/29/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/21/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/1997
Series 7 - General Securities Representative Examination
BC
Issued 11/28/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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