Kenneth Scott Williams

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 12/2008 → Present
  M&T Securities
  Utica, NY
• 12/2008 → Present
  M&T Bank
  Utica, NY
• 02/2024 → Present
  Lpl Financial
  Utica, NY

Previous Registrations

• 2009-01-07 → 2021-06-09
  M&T Securities, Inc.
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY
  Johnson City, NY
  Binghamton, NY
  Owego, NY
  Kirkwood, NY
  Ithaca, NY
  Utica, NY
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY
  Fishkill, NY
  Albany, NY
  Buffalo, NY
  Buffalo, NY
  Wilkes-Barre, PA
  Rochester, NY
  Atlanta, GA
  Syracuse, NY
  Buffalo, NY
  Buffalo, NY
  Buffalo, NY
  Buffalo, NY
  Harrisburg, PA
  Buffalo, NY
  Albany, NY
  Fishkill, NY
  Boston, MA
  Buffalo, NY
• 2008-01-29 → 2008-12-16
  Hsbc Securities (Usa) Inc.
  Whitesboro, NY
  Rome, NY
  Barneveld, NY
  Utica, NY
  Utica, NY
  Utica, NY

Other Businesses

1-02/2025 / M&T Financial Services / DBA for LPL Business (entity for LPL business) / INV RLTD / AT LOC 2- 02/2025 / Wilmington Trust / Notary / INV RLTD / START 05/18/2020 3- 02/2025 / Wilmington Trust / Financial Institution Duty / INV RLTD / 160 HRS MNTH / 40 HR DURING TRADING / START 12/30/2008

Exams

• S66 Uniform Combined State Law Examination
  2008-01-28
• S63 Uniform Securities Agent State Law Examination
  1998-11-05

Designations

• Chartered Financial Consultant

Other Names

• Kenneth Scott Williams