James H. Williams, Financial Operations Principal

Mr. Williams has more than 20 years of Broker Dealer management experience, and is responsible for NASD and SEC reporting requirements for the firm. Mr. Williams holds a B.A. Degree in Business Management from the University of Maryland and an MBA in Accounting from Golden Gate University. Mr. Williams is a licensed CPA and is registered with the FINRA (formerly NASD) and has a series 7, 63, 27 and 24 securities license.