Breton Williams, financial advisor Clinton IA
83 score

Breton Williams

CRD Number: 1845977
Current Firm: Stratos Wealth Partners, Ltd

Breton Williams (CRD# 1845977) is an Investment Advisor Representative working at Stratos Wealth Partners, Ltd in Clinton, IA and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial LLC Clinton, IA Aug 2014 - Current 2
Stratos Wealth Partners Clinton, IA Aug 2014 - Current 2
First Wealth Financial Group, LLP Clinton, IA Aug 2012 - Current 4
Eagle Strategies LLC Clinton, IA May 2006 - Aug 2014 8
Nylife Securities Inc. Cedar Rapids, IA May 1988 - Aug 2014 26
New York Life Ins. Company Davenport, IA Oct 1986 - Aug 2014 27
Williams Financial Group Clinton, IA Oct 2003 - Aug 2012 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1988
S65 NASAA Investment Advisors Law Examination Apr 2006
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Breton W. Williams
Phone Number: 440-519-2500
Registered State(s):
  • IA
  • TX
  • LA
By the Numbers
  • Total Assets Under Management
    3,101
    MILLIONS
  • Total Number of Accounts
    16,439
    ACCOUNTS
  • Average Account Value
    $188,637
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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