Role at Ameriprise Financial Services
- Title on Schedule A
- President, Director, Chairman and Chief Executive Officer
- Control
- William Williams is a control person of Ameriprise Financial Services.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- William Williams has held the filed role since April 2026.
The firm
Form ADV filed 25 September 2026
Career on record
William Williams has been registered through Ameriprise Financial Services since August 1989.
- Passed SIE · 2018
- – present · 13 years, · Adviser representative · Firm CRD 6363
- Passed Series 65 · 1996
- Passed Series 24 · 1994
- Passed Series 7 and Series 63 · 1989
- – present · 37 yearsMinnetrista, MN · Adviser representative and broker · Firm CRD 6363
Registrations and exams
William Williams has a current investment-adviser registration in Minnesota and has passed 5 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Minnesota | Investment adviser representative | Approved | 7 January 2014 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 15 May 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 3 October 1989 |
| Series 24 | General Securities Principal Examination | 8 April 1994 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 19 August 1989 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- William Williams
- CRD
- 1954117
- Registration status
- Investment adviser and broker registrations
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does William Williams work?
William Williams has been President, Director, Chairman and Chief Executive Officer of Ameriprise Financial Services, LLC since April 2026, and is a control person of the firm.
Is William Williams a financial advisor?
Yes. William Williams has a current investment-adviser registration in Minnesota, through Ameriprise Financial Services since August 1989, as of 17 October 2026.
How many years of experience does William Williams have?
William Williams has worked in the financial industry for 37 years as of 17 October 2026, counted from 21 August 1989, across 1 adviser firm.
What exams has William Williams passed?
William Williams has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 65 and SIE. The earliest, the Series 7, was passed in August 1989.
Leadership at Ameriprise Financial Services
- Mitchell David DorenRegion Vice President (texas Designated Officer)
- Stephen JR EheleDirector, Senior Vice President, Chief Operating Officer - Field
- Brett FlansburgSenior Vice President and Chief Compliance Officer
- Theodore Robert HorwithVice President - Controller, Chief Financial Officer and Principal Financial Officer
- Gumer Cruz AlveroBoard Director
- Joseph Francis GerdesChief Operations Officer/Principal Operating Officer