John Williams

Compliance Officer

Mr. Williams is a highly accomplished Compliance Officer with over 20 years of diversified experience in the retail broker-dealer industry, where he has cultivated a deep expertise in operations and regulatory compliance. With a comprehensive range of FINRA certifications, John is well-versed in the complexities of brokerage and advisory platforms, leveraging his knowledge to develop solutions that promote both compliance and operational efficiency.

Throughout his career, John has demonstrated exceptional leadership, driving teams toward success by fostering collaboration and implementing effective, corrective procedures that meet the highest industry standards. His strong communication skills and ability to work closely with retail representatives and advisors have made him a trusted partner in maintaining client relationships, improving advisor retention, and delivering superior customer service.

Mr. Williams holds series 4, 7, 24, 53, 63, and 66 securities licenses.