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2616-A Dauphin Street, Mobile, AL 36606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2020-09-29 |
| AL | RA | APPROVED | 2020-09-28 |
| TX | RA | APPROVED_RES | 2020-09-04 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Insurance Company | Mobile | AL | 08/2001 | 01/2018 |
| Williams Financial Group, Llc | Mobile | AL | 09/2004 | Present |
| Aptus Capital Advisors, Llc | Fairhope | AL | 01/2018 | 09/2020 |
| Eagle Strategies, Llc | New York | NY | 08/2003 | 01/2018 |
| Williams Financial Group | Mobile | AL | 08/2020 | Present |
[LEGACY DEVELOPMENT LLC; PERCENTAGE OF OWNERSHIP 100%; RENTAL INCOME; 2 HOURS WEEK; LLC SET UP TO BUILD HOUSES AND RENT THEM OUT.] [INSURANCE BROKERING; APPOINTED WITH OUTSIDE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; DBA WILLIAMS FINANCIAL GROUP, LLC; OWNER; 4 HRS/MO DURING TRADING HOURS] [B&L PROPERTIES, LLC; PERCENTAGE OF OWNERSHIP 50%; RENTAL INCOME; 0 HOURS WEEK; LLC SET UP TO BUILD HOUSES AND RENT THEM OUT.] [Amitie, LLC; New home construction and home rehab; 2566 Dauphin St., Mobile, AL 36606; Start Date of Relationship: 9/2018; Title: Owner with role to provide capital for real estate purchases; Not Investment related; 2 hours per month during trading hours] [InnoMed Tech, LLC; Medical Device Company; Suite 700, 595 Burrard Street Vancouver, BC Canada V7X 1S8; Medical Device Company; Head of Investor Relations; Start Date of Relationship: 05/01/2020; 5 hours per week; Compensation is $2000/mo; Communication to InnoMed Tech Investors until TSX listing occurs]
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 2001-10-29 |
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