Carolyn Sue Williams

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2010 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA

Previous Registrations

• 1998-06-30 → 2009-12-31
  Cetera Wealth Services, Llc
  Dallas, TX
  Dallas, TX
  Oklahoma City, OK

Other Businesses

1. CAROLYN S WILLIAMS, INDEPENDENT INSURANCE AGENT, CARROLLTON, TX, 01/2010. FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-5/MO-2/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 15/WK - 15/TRADING. 01/04/10 3. RENAISSANCE WEALTH MANAGEMENT, 2926 Cambridgeshire Dr., (Optional), CARROLLTON TX 75007, United States, 02/04/2025IAR, DBA Name, INV REL, 160HR/MO-150HR/TRADING 4. CAROLYN S WILLIAMS, 2435 E Hebron Pkwy, Carrollton TX 75010, 03/2025, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2 HR/MO, 1 HR/MO TRADING. 5. CAROLYN S WILLIAMS, 2435 E Hebron Pkwy, Carrollton TX 75010, United States, 03/01/2025, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 4 HR/MO - 1 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-05-31
• S63 Uniform Securities Agent State Law Examination
  1996-11-22

Designations

• Certified Financial Planner

Other Names

• Carolyn S Capps