Warren Sherman Williams

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 01/2007 → 09/2020
  Securities Service Network, Inc.
  Knoxville, TN
• 03/2007 → 09/2020
  Ssn Advisory Inc
  Overland Park, KS
• 09/2020 → 06/2024
  Securities America, Inc.
  Overland Park, KS
• 09/2020 → 06/2024
  Securities America Advisors, Inc.
  Overland Park, KS
• 06/2024 → Present
  Osaic Wealth, Inc.
  Overland Park, KS

Previous Registrations

• 2020-09-18 → 2024-06-14
  Securities America Advisors, Inc.
  Overland Park, KS
• 2008-12-16 → 2020-09-18
  Ssn Advisory, Inc.
  Overland Park, KS
• 2007-03-28 → 2008-12-16
  Ssn Advisory, Inc.
  Overland Park, KS
• 2008-12-03 → 2008-12-15
  The Retirement Group, Llc
  Overland Park, KS
• 2001-01-22 → 2007-01-26
  Fsc Securities Corporation
  Mission, KS
  Mission, KS

Other Businesses

1. DBA - Williams Financial Inc 2. WILLIAMS RETIREMENT GROUP POSITION: Advisor NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 80 START DATE: 09/15/2020 ADDRESS: 6701 W. 64th St., Suite 220, Overland Park KS 66202, United States DESCRIPTION: Brokerage and advisory 3. WILLIAMS FINANCIAL INC. - FIXED INSURANCE POSITION: Sales NATURE: Williams Financial inc INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 15 START DATE: 02/01/2007 ADDRESS: 6701 W. 64th St., Suite 220, Overland Park KS 66202, United States DESCRIPTION: Occasionally offer term life insurance and Medicare supplement, Part C and Part D sales and some ancillary products like dental, hearing and vision.

Exams

• S63 Uniform Securities Agent State Law Examination
  1996-08-01

Designations

• Certified Financial Planner

Other Names

• Warren S Jr Williams