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Robert Sparks Williams

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lexington, KY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-09-01
KY RA APPROVED 2016-05-11
  • TX RA
    APPROVED
    Since 2016-09-01
  • KY RA
    APPROVED
    Since 2016-05-11

Branch Locations

300 W Vine St, Lexington, KY 40507 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lexington KY 04/2016 Present
Bank Of America, N.A. Lexington KY 05/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-05-10
S63 Uniform Securities Agent State Law Examination 2000-06-12
  • S66 Uniform Combined State Law Examination
    2016-05-10
  • S63 Uniform Securities Agent State Law Examination
    2000-06-12
Other Names
  • Robert Sparks Williams
  • Robert Sparks Williams
  • Robert S Williams
  • Robert S Williams

View on SEC IAPD

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Other Investors

MICHAEL JAMES BROWNELL
JASON CHRISTOPHER GRESHAM
JAMES CARL GRAY
MARC ALLEN MOORE
AARON WILLIAM SEYFRIED
CARL LEE JINRIGHT
GEORGE DAVID PIERCE
JAMES MICHAEL THOMPSON

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · LEXINGTON, KY
WEALTH MANAGEMENT OF THE BLUEGRASS, LLC. · LEXINGTON, KY
LPL FINANCIAL LLC · LEXINGTON, KY
CETERA INVESTMENT ADVISERS LLC · LEXINGTON, KY
INVEST INC. · LEXINGTON, KY
EAGLE STRATEGIES LLC · LEXINGTON, KY
LPL ENTERPRISE, LLC · LEXINGTON, KY
LPL FINANCIAL LLC · LEXINGTON, KY

More in Lexington, KY

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