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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2019-05-17 |
Branch Locations
2500 Regency Parkway, Cary, NC 27518 • United States
Holly Springs, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Next Financial Group, Inc. | Apex | NC | 05/2005 | 05/2019 |
| Commonwealth Financial Network | Waltham | MA | 05/2019 | Present |
| Williams Wealth Management | Apex | NC | 05/2019 | Present |
1.President and Owner, AI Financial, Inc. doing business as Williams Wealth Management, a private entity established to facilitate securities, advisory, and insurance business; As of 03/14/2005; Approximately 98% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2.Fixed insurance sales, as an Agent, under the name 'Williams Wealth Management'; As of 5/17/2019; Approximately 2% time spent during securities trading hours per month; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-15 |
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