Stephanie Williams has been President of Tradewinds since May 2023, is a control person of the firm and directly owns under 5% of it. Stephanie Williams holds a Business Finance degree from the University of North Carolina at Wilmington and an MBA from Elon University.
Tradewinds, LLC is a Raleigh, NC firm with $659M under management, 505 clients and 9 advisers in one office, as of its March 2026 filing.
Stephanie Williams is President of TradeWinds. She began her career as a financial advisor with Smith Barney in 2004 and joined Wells Fargo Advisors in 2015. She became President of TradeWinds in 2023, overseeing internal departments, and works as a financial planner who also oversees portfolio allocations for the firm.
Stephanie Williams’ longest registration was 11 years at Wells Fargo Clearing Services, LLC (2010–2022). Before joining Tradewinds in 2022, Stephanie Williams was registered through Wells Fargo Clearing Services, LLC and Citigroup Global Markets Inc.
- Wells Fargo Clearing Services, LLC– · 11 yearsRaleigh, NC · Adviser representative · Firm CRD 19616
- Citigroup Global Markets Inc.– · 3 yearsRaleigh, NC · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Stephanie Williams is registered as an investment adviser representative in North Carolina, since February 2022.
- North CarolinaSince 4 February 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 27 January 2005 |
| Series 7 | General Securities Representative Examination | 16 December 2004 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Stephanie Ross Williams
- CRD
- 4876561
- Firm
- Tradewinds · CRD 316415
- Role
- President
- Office
- 4600 MARRIOTT DR., SUITE 200, Raleigh, NC 27612
- Registration
- Investment adviser registration
- In the industry since
- November 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- tradewinds.global
Where does Stephanie Williams work?
Stephanie Williams has been President of Tradewinds, LLC since May 2023, and is a control person of the firm.
Is Stephanie Williams a financial advisor?
Yes. Stephanie Williams has a current investment-adviser registration in North Carolina, through Tradewinds since February 2022.
How many years of experience does Stephanie Williams have?
Stephanie Williams has 19 years in the financial industry, since November 2006, across 3 adviser firms.
What exams has Stephanie Williams passed?
Stephanie Williams has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in December 2004. FINRA credited Stephanie Williams with the SIE, which began in October 2018.
Where did Stephanie Williams work before Tradewinds?
Before Tradewinds, Stephanie Williams was registered through Wells Fargo Clearing Services, LLC, August 2010 to January 2022; Citigroup Global Markets Inc., February 2005 to October 2008.
Where is Stephanie Williams based?
Stephanie Williams’ registered office is in Raleigh, NC.
Is Stephanie Williams registered with FINRA?
No. Stephanie Williams has no current broker registration.
How can I verify Stephanie Williams’ record?
Search CRD 4876561 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephanie Williams’ full registration record.