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Christopher Neil Williams

United Brokerage Services, Inc

Washington, NC

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Current Employers
United Brokerage Services, Inc

514 Market Street, Parkersburg, WV 26101 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-07-21
OH RA APPROVED 2024-08-28
PA RA APPROVED 2018-04-30
FL RA APPROVED 2018-04-23
NC RA APPROVED 2018-04-10
VA RA APPROVED 2018-03-27
  • TX RA
    APPROVED_RES
    Since 2026-07-21
  • OH RA
    APPROVED
    Since 2024-08-28
  • PA RA
    APPROVED
    Since 2018-04-30
  • FL RA
    APPROVED
    Since 2018-04-23
  • NC RA
    APPROVED
    Since 2018-04-10
  • VA RA
    APPROVED
    Since 2018-03-27

Branch Locations

300 N Market Street, Washington, NC 27889 • 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
Capital One Advisors, Llc Warrenton VA 01/2015 03/2018
Capital One Investing, Llc Warrenton WA 01/2015 03/2018
United Brokerage Services Washington NC 03/2018 Present
  • 01/2015 → 03/2018
    Capital One Advisors, Llc
    Warrenton, VA
  • 01/2015 → 03/2018
    Capital One Investing, Llc
    Warrenton, WA
  • 03/2018 → Present
    United Brokerage Services
    Washington, NC
Previous Registrations
  • 2015-01-28 → 2018-03-26
    Capital One Advisors, Llc
    Warrenton, VA
    Mclean, VA
  • 2014-01-28 → 2015-01-28
    Capital One Financial Advisors Llc
    Melville, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-01-27
S63 Uniform Securities Agent State Law Examination 1997-10-30
  • S65 Uniform Investment Adviser Law Examination
    2014-01-27
  • S63 Uniform Securities Agent State Law Examination
    1997-10-30

View on SEC IAPD

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