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Friend Michael Williams

Alphastar Capital Management

Cornelius, NC

Mount Juliet, TN

Nashville, TN

CRD 5784577

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Employer firm

Alphastar Capital Management CRD 157423

$2.50B regulatory AUM 28 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • SUB-ADVISORY SERVICES

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

Current Employers
Alphastar Capital Management

19520 West Catawba Avenue Suite 112, Cornelius, NC 28031 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2024-03-15
TX RA APPROVED 2024-02-23
  • TN RA
    APPROVED
    Since 2024-03-15
  • TX RA
    APPROVED
    Since 2024-02-23

Branch Locations

19520 West Catawba Avenue Suite 112, Cornelius, NC 28031 • United States

2099 N Mount Juliet Rd., Mount Juliet, TN 37122 • United States

2505 21St Avenue South, Nashville, TN 37212 • 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
Td Ameritrade Columbia SC 04/2015 04/2020
Guardian Life Insurance Houston TX 09/2020 03/2021
Unemployed Austin TX 05/2020 08/2020
Park Avenue Securities Houston TX 09/2020 03/2021
Guardian Life Insurance Company Austin TX 03/2021 04/2021
Park Avenue Securities Austin TX 03/2021 04/2021
Centennial Advisors, Llc Austin TX 04/2021 01/2024
Riverdog Wealth, Llc Austin TX 02/2024 Present
Alphastar Capital Management, Llc Cornelius NC 02/2024 Present
Riverdog Insurance, Llc Austin TX 02/2024 Present
  • 04/2015 → 04/2020
    Td Ameritrade
    Columbia, SC
  • 09/2020 → 03/2021
    Guardian Life Insurance
    Houston, TX
  • 05/2020 → 08/2020
    Unemployed
    Austin, TX
  • 09/2020 → 03/2021
    Park Avenue Securities
    Houston, TX
  • 03/2021 → 04/2021
    Guardian Life Insurance Company
    Austin, TX
  • 03/2021 → 04/2021
    Park Avenue Securities
    Austin, TX
  • 04/2021 → 01/2024
    Austin, TX
  • 02/2024 → Present
    Riverdog Wealth, Llc
    Austin, TX
  • 02/2024 → Present
    Alphastar Capital Management, Llc
    Cornelius, NC
  • 02/2024 → Present
    Riverdog Insurance, Llc
    Austin, TX
Previous Registrations
  • 2021-04-19 → 2024-02-20
    Austin, TX
  • 2020-12-03 → 2021-04-16
    Houston, TX
    Austin, TX
  • 2015-04-27 → 2020-04-28
    Td Ameritrade, Inc.
    Columbia, SC
  • 2015-04-27 → 2020-04-28
    Td Ameritrade Investment Management, Llc
    Columbia, SC
  • 2013-01-07 → 2013-08-09
    Weaverville, NC
    Hendersonville, NC
    St Louis, MO
Other Businesses

Riverdog Insurance LLC; non-investment related; 7317 Sligo Dr. Austin, TX 78754; Insurance Products and Sales, Co-Owner/Licensed Insurance Agent; 02/2024; 80 hours/month; 80 hours/month during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-01-05
S63 Uniform Securities Agent State Law Examination 2010-10-01
  • S66 Uniform Combined State Law Examination
    2013-01-05
  • S63 Uniform Securities Agent State Law Examination
    2010-10-01
Other Names
  • Friend Williams

View on SEC IAPD

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