Warren Williams Email & Phone Number
LPL General Securities Principal @ Financial Resources Group Investment Services, LLC
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Warren Williams Location
- Charlotte, NC, US
Warren Williams Work
- LPL General Securities Principal @ (February 2022 - Present)
- Home Office Supervision @ (May 2008 - March 2022)
- Team Lead, High Networth Client @ Etrade Financial (June 2006 - May 2008)
- Team Lead, High Networth Client @ Harrisdirect (formerly DLJdirect, CSFBdirect) (January 2001 - January 2006)
- Equity Trader @ DLJ (January 1999 - January 2001)
- Consumer Banker @ (June 1997 - January 1999)
Warren Williams Education
- The University of North Carolina at Chapel Hill
BA (Political Scirence)
Warren Williams Skills
- FINRA
- Series 7
- Mutual Funds
- Series 63
- Securities
- Series 24
- Equities
- Financial Services
- Investments
- Uniform Combined State Law
- Portfolio Management
- Retirement Planning
- Risk Management
- Fixed Income
- SDLC
- Financial Analysis
- Investment Management
- Equity Trading
- Securities Regulation
- Financial Advisory
- Finance
- ETFs
- Financial Markets
- Options
- Asset Management
- Trading
- Investment Strategies
- Wealth Management
- Broker-Dealer
- Institutional Advisory Compliance
- SEC Regulations
Warren Williams Summary
- Warren Williams, based in Charlotte, NC, US, is currently a LPL General Securities Principal at Financial Resources Group Investment Services, LLC. Warren Williams brings experience from previous roles at LPL Financial, Etrade Financial, Harrisdirect (formerly DLJdirect, CSFBdirect) and DLJ. Warren Williams holds a BA in Political Scirence @ The University of North Carolina at Chapel Hill. With a robust skill set that includes FINRA, Series 7, Mutual Funds, Series 63, Securities and more. Warren Williams has 1 emails and 3 mobile phone numbers on RocketReach.
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