Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Courtland Williams is an Investment Advisor Representative with Raymond James & Associates, Inc. with over 20 years of experience in the financial industry. Roger has a wide range of licenses and registrations including Series 7, 9, 10, 31, 66 and SIE and is registered in 48 states. Roger works with individual and business clients providing a variety of services including financial planning, portfolio management, selection of other advisors, and educational seminars.
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.
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.
Please see note in schedule d - miscellaneous
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
SC
08/01/2014 - Present
Raymond James & Associates, Inc. (GREENVILLE SC)
SC
03/26/2003 - 03/14/2013
MORGAN KEEGAN & COMPANY, INC. (GREENVILLE SC)
BOTH
Issued 04/25/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/18/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/16/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/2014
Series 31 - Futures Managed Funds Examination
BC
Issued 03/24/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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