Garth Williams has been Owner, Chief Compliance Officer of Williams, Garth Alan since October 2006, is a control person of the firm and directly owns 75% or more of it.
Williams, Garth Alan is a firm with $162M under management, 92 clients and 4 advisers across 4 offices, as of its July 2026 filing.
Garth A. Williams is part of The Honu Team at Honu Wealth. He guides clients through the significant financial events that affect their lives toward their financial and life goals. He helps people make well-informed decisions about their money and retirement plans.
Garth Williams’ longest registration is the current one, 14 years at Williams, Garth Alan since 2012. Before joining Williams, Garth Alan in 2012, Garth Williams was registered through Hanvey Financial and Raymond James Financial Services.
- Honu Wealth ManagementCurrent– present · 14 yearsSunnyvale, CA · Adviser representative · Firm CRD 142563
- Hanvey Financial– · 4 yearsLos Altos, CA · Adviser representative · Firm CRD 127511
- Raymond James Financial Services– · 3 yearsWest Lake Hills, TX · Adviser representative · Firm CRD 6694
Professional designations
Listed by Williams, Garth Alan
- CFP®
Investment adviser representative registrations
Garth Williams is registered as an investment adviser representative in 2 states. Each was approved in March 2012.
- CaliforniaSince 7 March 2012
- TexasSince 20 March 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 27 October 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 18 January 1994 |
| Series 7 | General Securities Representative Examination | 28 December 1993 |
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Garth Alan Williams
- CRD
- 2431442
- Firm
- Williams, Garth Alan · CRD 142563
- Role
- Owner, Chief Compliance Officer
- Office
- Sunnyvale, CA
- Registration
- Investment adviser registration
- In the industry since
- March 2007
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- honuwealth.com
Where does Garth Williams work?
Garth Williams has been Owner, Chief Compliance Officer of Williams, Garth Alan since October 2006, and is a control person of the firm.
Is Garth Williams a financial advisor?
Yes. Garth Williams has a current investment-adviser registration in California and Texas, through Williams, Garth Alan since March 2012.
How many years of experience does Garth Williams have?
Garth Williams has 19 years in the financial industry, since March 2007, across 3 adviser firms.
What exams has Garth Williams passed?
Garth Williams has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in December 1993.
Where did Garth Williams work before Williams, Garth Alan?
Before Williams, Garth Alan, Garth Williams was registered through Hanvey Financial, October 2002 to July 2007; Raymond James Financial Services, July 2002 to July 2005.
Where is Garth Williams based?
Garth Williams’ registered office is in Sunnyvale, CA.
Is Garth Williams registered with FINRA?
No. Garth Williams has no current broker registration.
Is Garth Williams a CFP?
Williams, Garth Alan lists Garth Williams with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
Source: Garth A. Williams, MBA, CFP® biography, honuwealth.com
How can I verify Garth Williams’ record?
Search CRD 2431442 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Garth Williams’ full registration record.