Barbara Williams has been Chief Compliance Officer of Financial Focus since December 2015, is a control person of the firm and directly owns between 25% and 50% of it.
Financial Focus LLC is a Carlsbad, CA firm with $800M under management, 584 clients and 5 advisers in one office, as of its January 2026 filing.
Barbara Williams’ longest registration was 27 years at Financial Focus (1989–2016). Before joining Financial Focus in 2016, Barbara Williams was registered through National Planning Corporation ("NPC of America" in FL & NY) and Financial Focus.
- Financial Focus LLCCurrent– present · 10 yearsCarlsbad, CA · Adviser representative · Firm CRD 282177
- National Planning Corporation ("NPC of America" in FL & NY)– · 17 yearsCarlsbad, CA · Adviser representative · Firm CRD 29604
- Financial Focus– · 27 yearsCarlsbad, CA · Adviser representative · Firm CRD 134904
Investment adviser representative registrations
Barbara Williams is registered as an investment adviser representative in 3 states. The first approvals date from January 2016; the most recent is New York, in February 2021.
- CaliforniaSince 13 January 2016
- New YorkSince 19 February 2021
- TexasSince 16 April 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 51 | Municipal Fund Securities Principal Examination | 28 March 2003 |
| Series 24 | General Securities Principal Examination | 23 May 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 April 1989 |
| Series 7 | General Securities Representative Examination | 17 July 1982 |
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Barbara Jessup Williams
- CRD
- 1050277
- Firm
- Financial Focus · CRD 282177
- Role
- Chief Compliance Officer
- Office
- 1925 PALOMAR OAKS WAY, #107, Carlsbad, CA 92008
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 1982
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Barbara Williams work?
Barbara Williams has been Chief Compliance Officer of Financial Focus LLC since December 2015, and is a control person of the firm.
Is Barbara Williams a financial advisor?
Yes. Barbara Williams has a current investment-adviser registration in California, New York and Texas, through Financial Focus since January 2016.
How many years of experience does Barbara Williams have?
Barbara Williams has 44 years in the financial industry, since August 1982, across 3 adviser firms.
What exams has Barbara Williams passed?
Barbara Williams has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 51. The earliest, the Series 7, was passed in July 1982. FINRA credited Barbara Williams with the SIE, which began in October 2018.
Where is Barbara Williams based?
Barbara Williams’ registered office is in Carlsbad, CA.
Is Barbara Williams registered with FINRA?
Yes. Barbara Williams has a current broker registration, under CRD 1050277.
Source: FINRA BrokerCheck
How can I verify Barbara Williams’ record?
Search CRD 1050277 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Barbara Williams’ full registration record.