Articles Tagged with Scott Williams

Scott Williams

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2018 indicate that former Tennessee-based LPL Financial Services broker/adviser Scott Williams was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Williams (CRD# 2330693).

Scott Williams has spent 25 years in the securities industry and was most recently registered with LPL Financial in Franklin, Tennessee (2017-2018). Previous registrations include Raymond James Financial Services in Franklin, Tennessee (2011-2017) and JJB Hilliard WL Lyons in Memphis, Tennessee, He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 13, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 29, 1993; Series 7 (General Securities Representative Examination), which he obtained on April 14, 1993; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on April 30, 2011; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on April 4, 2011. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one denied customer complaint and was recently terminated from his former employer in connection to alleged rule violations.