John Williams has been an investment adviser representative at Bautis Financial since September 2020, and is not listed among the firm’s executive officers or direct owners.
Bautis Financial, LLC is a Montclair, NJ firm with $197M under management, 275 clients and 2 advisers across 2 offices, as of its February 2026 filing.
John Williams is an investment adviser representative at Bautis Financial. His career began in the running retail industry, where he spent 15 years, and he owned his own retail business. He earned an MBA in Finance and began his advisory career at MassMutual of Metro NYC before joining Bautis Financial.
- Bautis Financial, LLCCurrent– present · 6 yearsMontclair, NJ · Adviser representative · Firm CRD 148582
Professional designations
Listed by Bautis Financial
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
John Williams is registered as an investment adviser representative in 3 states. The first approvals date from September 2020; the most recent is New York, in November 2021.
- FloridaSince 7 April 2021
- New JerseySince 25 September 2020
- New YorkSince 12 November 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 22 June 2020 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 24 March 2017 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 6 March 2017 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- John Hamilton Williams
- CRD
- 6750455
- Firm
- Bautis Financial · CRD 148582
- Office
- 8 HILLSIDE AVE, SUITE LL1, Montclair, NJ 07042
- Registration
- Investment adviser registration
- In the industry since
- February 2019
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- bautisfinancial.com
Where does John Williams work?
John Williams is an investment adviser representative registered through Bautis Financial, LLC since September 2020, and is not listed among the firm’s executive officers or direct owners.
Is John Williams a financial advisor?
Yes. John Williams has a current investment-adviser registration in Florida, New Jersey and New York, through Bautis Financial since September 2020.
How many years of experience does John Williams have?
John Williams has 7 years in the financial industry, since February 2019, across 1 adviser firm.
What exams has John Williams passed?
John Williams has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in March 2017. FINRA credited John Williams with the SIE, which began in October 2018.
Where is John Williams based?
John Williams’ registered office is in Montclair, NJ.
Is John Williams registered with FINRA?
No. John Williams has no current broker registration.
Is John Williams a CFP?
Bautis Financial lists John Williams with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify John Williams’ record?
Search CRD 6750455 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Williams’ full registration record.
