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
- 2022 -now LPL General Securities Principal @
- 2008 -2022 Home Office Supervision @
- 2006 -2008 Team Lead, High Networth Client @ Etrade Financial
- 2001 -2006 Team Lead, High Networth Client @ Harrisdirect (formerly DLJdirect, CSFBdirect)
- 1999 -2001 Equity Trader @ DLJ
- 1997 -1999 Consumer Banker @
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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