James Williams has been an investment adviser representative at Spectrum Financial Resources since September 2014, and is not listed among the firm’s executive officers or direct owners.
Spectrum Financial Resources, LLC is a Troy, MI firm with $235M under management, 723 clients and 5 advisers across 3 offices, as of its March 2026 filing.
James Williams’ longest registration is the current one, 12 years at Spectrum Financial Resources since 2014. Before joining Spectrum Financial Resources in 2014, James Williams was registered through J.P. Morgan Securities LLC and Chase Investment Services Corp.
- Spectrum Financial ResourcesCurrent– present · 12 yearsSt. Clair Shores, MI · Adviser representative · Firm CRD 127453
- J.P. Morgan Securities LLC– · 1 yearGrosse Pointe, MI · Adviser representative · Firm CRD 79
- Chase Investment Services Corp.– · 5 yearsGrosse Pointe, MI · Adviser representative · Firm CRD 25574
Investment adviser representative registrations
James Williams is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from September 2014; the most recent is Texas, in March 2024.
- MichiganSince 15 September 2014
- TexasResidentSince 26 March 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 30 November 2006 |
| Series 7 | General Securities Representative Examination | 30 December 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 September 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 31 August 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Daniel Williams
- CRD
- 4011843
- Firm
- Spectrum Financial Resources · CRD 127453
- Office
- 22611 Greater Mack Ave., St. Clair Shores, MI 48080
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 2000
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Williams work?
James Williams is an investment adviser representative registered through Spectrum Financial Resources, LLC since September 2014, and is not listed among the firm’s executive officers or direct owners.
Is James Williams a financial advisor?
Yes. James Williams has a current investment-adviser registration in Michigan and Texas, through Spectrum Financial Resources since September 2014.
How many years of experience does James Williams have?
James Williams has 26 years in the financial industry, since March 2000, across 3 adviser firms.
What exams has James Williams passed?
James Williams has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in August 1999. FINRA credited James Williams with the SIE, which began in October 2018.
Where did James Williams work before Spectrum Financial Resources?
Before Spectrum Financial Resources, James Williams was registered through J.P. Morgan Securities LLC, October 2012 to July 2014; Chase Investment Services Corp., December 2006 to October 2012.
Where is James Williams based?
James Williams’ registered office is in St. Clair Shores, MI.
Is James Williams registered with FINRA?
Yes. James Williams has a current broker registration, under CRD 4011843.
Source: FINRA BrokerCheck
How can I verify James Williams’ record?
Search CRD 4011843 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Williams’ full registration record.
