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James S Williams

Commonwealth Financial Network

Wilmington, NC

Wilmington, NC

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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-03-25
NC RA APPROVED 2020-02-07
  • TX RA
    APPROVED
    Since 2026-03-25
  • NC RA
    APPROVED
    Since 2020-02-07

Branch Locations

1213 Culbreth Drive Suite 134, Wilmington, NC 28405 • United States

1213 Culbreth Drive Ste 134, Wilmington, NC 28405 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Wilmington NC 09/2005 02/2020
Commonwealth Financial Network Waltham MA 02/2020 Present
Crossbridge Financial Group, Llc Wilmington NC 02/2020 Present
  • 09/2005 → 02/2020
    Ameriprise Financial Services, Inc.
    Wilmington, NC
  • 02/2020 → Present
    Commonwealth Financial Network
    Waltham, MA
  • 02/2020 → Present
    Crossbridge Financial Group, Llc
    Wilmington, NC
Previous Registrations
Other Businesses

Fixed insurance sales; As of 2/17/2020; 1% time spent during business hours; Conducted at branch location; Investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-07-21
S63 Uniform Securities Agent State Law Examination 1995-07-17
  • S65 Uniform Investment Adviser Law Examination
    1995-07-21
  • S63 Uniform Securities Agent State Law Examination
    1995-07-17
Designations

View on SEC IAPD

Other Firms

RAYMOND JAMES & ASSOCIATES, INC.
WELLS FARGO CLEARING SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
OSAIC INSTITUTIONS, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
MORGAN STANLEY

Other Investors

MATTHEW STEPHEN BENNETT
Gary R Bechtold
EDWARD MONTGOMERY KNOX
TIMOTHY CALHOUN GRAY
EMILY ROGERS HARVEY
CHARLES WARREN MINTZ
Savannah Castor King
JOHN DAVID THOMAS

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · Wilmington, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WILMINGTON, NC
OSAIC INSTITUTIONS, INC. · Wilmington, NC
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC

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