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Billy Ray Williams

Williams Financial Group

Mobile, AL

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Current Employers
Williams Financial Group

2616-A Dauphin Street, Mobile, AL 36606 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2020-09-29
AL RA APPROVED 2020-09-28
TX RA APPROVED_RES 2020-09-04
  • LA RA
    APPROVED
    Since 2020-09-29
  • AL RA
    APPROVED
    Since 2020-09-28
  • TX RA
    APPROVED_RES
    Since 2020-09-04

Branch Locations

2616-A Dauphin Street, Mobile, AL 36606 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
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
Previous Registrations
Other Businesses

[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]

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-09-12
S63 Uniform Securities Agent State Law Examination 2001-10-29
  • S65 Uniform Investment Adviser Law Examination
    2003-09-12
  • S63 Uniform Securities Agent State Law Examination
    2001-10-29
Designations

View on SEC IAPD

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