ANTHONY LATERE WILLIAMS

ANTHONY LATERE WILLIAMS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1700 WEST LOOP S STE 255, HOUSTON, TX, 77027-3029.

ANTHONY LATERE WILLIAMS has worked at LPL FINANCIAL LLC since November 24, 2004

Disclosure History

ANTHONY LATERE WILLIAMS has 5 Disclosure Event(s).

Date: September 30, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: September 29, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: September 27, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: September 27, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: September 27, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for ANTHONY LATERE WILLIAMS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.