Roy Williams has been Managing Member, President, CEO, Chief Compliance Officer of Prestige Wealth Management Group since March 1995, is a control person of the firm and directly owns 75% or more of it. Roy Williams holds a Degree in Finance from Lycoming College.
Prestige Wealth Management Group, LLC is a Flemington, NJ firm with $666M under management, 440 clients and 4 advisers across 4 offices, as of its March 2026 filing.
Roy Williams is CEO & Wealth Advisor of Prestige Wealth Management Group. He is President, Founder and principal owner of the firm and has over 30 years of professional experience in financial planning and investment management.
Roy Williams’ longest registration is the current one, 22 years at Prestige Wealth Management Group since 2004. Before joining Prestige Wealth Management Group in 2004, Roy Williams was registered through LPL Financial LLC.
- Osaic Wealth, Inc.Also current– present · 2 yearsKey Largo, FL · Adviser representative and broker · Firm CRD 23131
- The Pillar StrategiesAlso current– present · 13 yearsAdviser representative · Firm CRD 166641
- – present · 22 yearsAdviser representative · Firm CRD 127381
- LPL Financial LLC– · 9 yearsFlemington, NJ · Adviser representative · Firm CRD 6413
Professional designations
Listed by Prestige Wealth Management Group
- Chartered Financial Consultant (ChFC®)
Investment adviser representative registrations
Roy Williams is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from November 2019; the most recent is Texas, in January 2025.
- TexasSince 21 November 2019
- TexasResidentSince 2 January 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 11 March 1997 |
| Series 7 | General Securities Representative Examination | 7 February 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 December 1994 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 2 July 1983 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Roy Evans Williams
- CRD
- 1161149
- Firm
- Prestige Wealth Management Group · CRD 127381
- Role
- Managing Member, President, CEO, Chief Compliance Officer
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 1983
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- prestigewmg.com
Where does Roy Williams work?
Roy Williams has been Managing Member, President, CEO, Chief Compliance Officer of Prestige Wealth Management Group, LLC since March 1995, and is a control person of the firm.
Is Roy Williams a financial advisor?
Yes. Roy Williams has a current investment-adviser registration in Texas and Texas, through Prestige Wealth Management Group since March 2004.
How many years of experience does Roy Williams have?
Roy Williams has 43 years in the financial industry, since July 1983, across 4 adviser firms.
What exams has Roy Williams passed?
Roy Williams has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 24 and Series 99TO. The earliest, the Series 6, was passed in July 1983. FINRA credited Roy Williams with the SIE, which began in October 2018.
Is Roy Williams registered with FINRA?
Yes. Roy Williams has a current broker registration, under CRD 1161149.
Source: FINRA BrokerCheck
How can I verify Roy Williams’ record?
Search CRD 1161149 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Roy Williams’ full registration record.