Carl WilliamsCRD Number: 5408027
Current Firm: Ameriprise Financial Services, Inc.
Carl Williams (CRD# 5408027) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Raleigh, NC and has over 9 years of experience in the finance industry.
Wiser Financial Coaching, LLC
Signator Investors, Inc.
Hornor, Townsend & Kent, Inc.
|Ameriprise Financial Services, Inc.||Raleigh, NC||Jun 2013 - Current||4|
|Wells Fargo Advisors LLC||Raleigh, NC||May 2011 - Jun 2013||2|
|Independent Agent||Raleigh, NC||Nov 2010 - May 2011||< 1|
|Northwestern Mutual Life Insurance Company||Milwaukee, WI||Sep 2007 - Nov 2010||3|
|Northwestern Mutual Investment Services, LLC||Raleigh, NC||Sep 2007 - Nov 2010||3|
|Performance Bmw||Chapel Hill, NC||Sep 2006 - Sep 2007||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jun 2008|
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:
- Financial Issue
Total Assets Under Management178,060MILLIONS
Total Number of Accounts1,085,445ACCOUNTS
Average Account Value$164,044
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV