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Shanice Jera Williams

Capital ONE Securities, Inc.

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About Shanice Jera Williams

Shanice Jera Williams is a financial professional with a career spanning the securities industry. Shanice is currently registered with Capital One Securities, Inc. and holds both the Series 7TO and SIE exams. Shanice has prior experience with Morgan Stanley, where Shanice was also registered with a focus on both Broker-Dealer and Investment Advisor activities.

Firm Information

Shanice Williams is currently registered with Capital ONE Securities, Inc.. Capital ONE Securities, Inc. is a Corporation formed in April 2000 and approved in multiple states, including California, Connecticut, Florida, Illinois, Louisiana, Maryland, Massachusetts, New York, Pennsylvania, Texas, and Virginia. They are also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

103

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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Shanice Williams’s Registration & Firm History

TX

02/23/2022 - Present

Capital ONE Securities, Inc. (HOUSTON TX)

LA

08/13/2021 - 02/01/2022

MORGAN STANLEY (NEW ORLEANS LA)

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Licenses & Designations

BC

Issued 08/13/2021

Series 7TO - General Securities Representative Examination

BC

Issued 03/30/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Shanice Jera Williams.
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