Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Warren? Claim Your ProfileWarren Christian Williams is a financial advisor with over 20 years of experience in the industry. Warren is currently registered with LPL Financial LLC and has previously been registered with Uvest Financial Services Group, Inc., E*TRADE Securities LLC, and Harrisdirect LLC. Warren has a wide range of licenses and certifications, including Series 7, 24, 53, 55, 63, 99TO, and SIE. Warren specializes in working with high-net-worth individuals, corporations, and charitable organizations.
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.
Consulting and other non-discretionary advisory services
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
05/21/2008 - Present
LPL Financial LLC (FORT MILL SC)
NC
10/05/2011 - 04/26/2012
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
NC
01/03/2006 - 06/06/2008
E*TRADE SECURITIES LLC (CHARLOTTE NC)
NJ
11/26/1999 - 12/31/2005
HARRISDIRECT LLC (JERSEY CITY NJ)
BC
Issued 01/21/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/20/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/13/2003
Series 4 - Registered Options Principal Examination
BC
Issued 09/03/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/24/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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