James Williams has been President/Chief Compliance Officer of Williams Financial since August 2005, is a control person of the firm and directly owns 75% or more of it. James Williams holds a Business administration degree from Southern Vermont College, an MBA from the University of Massachusetts at Amherst and a Certificate in financial planning from Boston University.
Williams Financial, LLC is a North Bennington, VT firm with $210M under management, 267 clients and 4 advisers across 3 offices, as of its March 2026 filing.
James J. Williams is CEO and Founder of Williams Financial. As a wealth advisor, he works with clients to organize the moving parts of their finances and create a comprehensive plan. He started his career as a bank manager and was promoted to marketing director, then managed an independent broker overseeing operations, finance and compliance. He has taught business courses at Castleton University, Community College of Vermont and Southern Vermont College.
- Williams Financial, LLCCurrent– present · 18 yearsNorth Bennington, VT · Adviser representative · Firm CRD 137038
- – · 1 yearBennington, VT · Adviser representative · Firm CRD 137038
Professional designations
Listed by Williams Financial
- CERTIFIED FINANCIAL PLANNER®
Investment adviser representative registrations
James Williams is registered as an investment adviser representative in 3 states. The first approvals date from February 2008; the most recent is New York, in July 2021.
- MassachusettsSince 18 February 2015
- New YorkSince 13 July 2021
- VermontSince 26 February 2008
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 17 August 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 August 2004 |
| Series 7 | General Securities Representative Examination | 23 July 2004 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Jason Williams
- CRD
- 4806982
- Firm
- Williams Financial · CRD 137038
- Role
- President/Chief Compliance Officer
- Office
- 12 MAIN STREET, North Bennington, VT 05257
- Registration
- Investment adviser registration
- In the industry since
- January 2007
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- williamsfinancial.net
Where does James Williams work?
James Williams has been President/Chief Compliance Officer of Williams Financial, LLC since August 2005, and is a control person of the firm.
Is James Williams a financial advisor?
Yes. James Williams has a current investment-adviser registration in Massachusetts, New York and Vermont, through Williams Financial since February 2008.
How many years of experience does James Williams have?
James Williams has 19 years in the financial industry, since January 2007, across 1 adviser firm.
What exams has James Williams passed?
James Williams has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in July 2004.
Where did James Williams work before Williams Financial?
Before Williams Financial, James Williams was registered through Williams Financial Management, LLC, November 2005 to December 2006.
Where is James Williams based?
James Williams’ registered office is in North Bennington, VT.
Is James Williams registered with FINRA?
No. James Williams has no current broker registration.
Is James Williams a CFP?
Williams Financial lists James Williams with the CFP credential (“CERTIFIED FINANCIAL PLANNER®”) on its website. CFP Board confirms certification status.
How can I verify James Williams’ record?
Search CRD 4806982 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Williams’ full registration record.