Artis WilliamsCRD Number: 1099390
Current Firm: Lockwood Advisors Inc.
Artis Williams (CRD# 1099390) is an Investment Advisor Representative working at Lockwood Advisors Inc. in Orlando, FL and has over 11 years of experience in the finance industry.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Retirement Wealth Advisors, Inc.
|Lockwood Advisors, Inc.||King Of Prussia, PA||Jan 2011 - Current||6|
|Pershing LLC||King Of Prussia, PA||Jan 2011 - Current||6|
|Primerica||San Antonio, TX||May 2010 - Dec 2010||< 1|
|Retirement Value LLC||San Antonio, TX||Jun 2009 - Apr 2010||< 1|
|Insure.com/life Quotes.com||Helotes, TX||Jan 2008 - Jun 2009||1|
|The O.n. Equity Sales Company||Cincinnati, OH||Dec 2006 - Dec 2007||1|
|Ohio National Financial Services||Cincinnati, OH||Nov 2006 - Dec 2007||1|
|Investment Professionals, Inc.||San Antonio, TX||Jan 2006 - Nov 2006||< 1|
|Exam Code||Name||Passed Date|
|S65||NASAA Investment Advisors Law Examination||Feb 2011|
|S66||NASAA Uniform Combined State Law Examination||Feb 2006|
|S63||Uniform Securities State Law Examination||Oct 2015|
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
Total Assets Under Management5,954MILLIONS
Total Number of Accounts37,342ACCOUNTS
Average Account Value$159,436
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
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, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV