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2616-A Dauphin Street, Mobile, AL 36606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2020-09-09 |
| AL | RA | APPROVED | 2020-09-04 |
| TX | RA | APPROVED_RES | 2020-09-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Ins Co | Mobile | AL | 07/2006 | 01/2019 |
| Nylife Securities | Mobile | AL | 11/2006 | 01/2019 |
| Eagle Strategies Llc | Mobile | AL | 12/2009 | 01/2019 |
| Aptus Capital Advisors, Llc | Fairhope | AL | 02/2019 | 09/2020 |
| Williams Financial Group | Mobile | AL | 08/2020 | Present |
INDEPENDENT INSURANCE AGENT; INVESTMENT RELATED; 2019; APPROXIMATELY 20 HOURS/MO DURING TRADING HOURS; SALES AND REVIEW OF INSURANCE PRODUCTS. DIRECTOR OF THE LEGACY FOUNDATION COTTAGE HILLS BAPTIST CHURCH; NOT INVESTMENT RELATED; 2025; APPROXIMATELY 1 HOUR/MO.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 2007-03-27 |
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