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Current Employers
St. Bernard Financial Services, Inc.

1609 West Main St, Russellville, AR 72801 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-01-27
AR RA APPROVED 2018-01-18
  • TX RA
    APPROVED_RES
    Since 2018-01-27
  • AR RA
    APPROVED
    Since 2018-01-18

Branch Locations

905 Mena St, Mena, AR 71953 • United States

905 Mena St, Mena, AR 71953 • United States

1609 West Main St., Russellville, AR 72801 • UNITED STATES

1609 West Main St, Russellville, AR 72801 • United States

Disclosures

2 disclosure categories 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 Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ims Securities, Inc. Houston TX 12/2003 11/2017
Ims Financial Advisors, Inc. Houston TX 12/2003 11/2017
St Bernard Financial Services, Inc Mena AR 11/2017 Present
  • 12/2003 → 11/2017
    Ims Securities, Inc.
    Houston, TX
  • 12/2003 → 11/2017
    Ims Financial Advisors, Inc.
    Houston, TX
  • 11/2017 → Present
    Mena, AR
Previous Registrations
  • 2004-05-13 → 2017-12-03
    Mena, AR
  • 2003-12-17 → 2004-12-31
    Ims Securities, Inc.
    Mena, AR
    Baytown, TX
    Houston, TX
  • 1998-03-31 → 2004-01-07
    Investment Professionals, Inc.
    Baytown, TX
Other Businesses

OLD DALLAS RANCH, 3279 POLK ROAD 44, MENA, AR 71953, NON-INVESTMENT RELATED, RAISING CATTLE FOR SALE, START DATE: 2005, LESS THAN 2 HRS/WK, NONE DURING TRADING HRS; DBA CORNERSTONE FINANCIAL MANAGEMENT, 905 MENA STREET, MENA, AR 71953, INVESTMENT-RELATED, FINANCIAL ADVICE, INVESTMENTS, ETC., START DATE: 12/2003, 20-30 HRS/WK, 20 HRS DURING TRADING HRS; MENA COUNTRY SALES (EBAY ACCOUNT), 905 MENA, MENA, AR 71953, NON INVESTMENT-RELATED, COLLECTIBLES & ANTIQUES DEALER, BUYING & SELLING COLLECTIBLES, ANTIQUES, JEWELRY, ETC. & PLACING THEM ON EBAY, START DATE: 10/2011, 40-50 HRS/WK, 20 HRS DURING TRADING HRS.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-05-22
S65 Uniform Investment Adviser Law Examination 1996-05-22
  • S63 Uniform Securities Agent State Law Examination
    1996-05-22
  • S65 Uniform Investment Adviser Law Examination
    1996-05-22
Other Names
  • Patrick Thayne Williams
  • Thayne Williams
  • Patrick T Williams

View on SEC IAPD

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