Investors potentially experienced sales practice violations by securities broker Roy Alvin Williams Sr. [CRD: 1069297, Stratford, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roy Williams worked for Center Street Securities Inc. from October 27, 2016, to August 7, 2023, and Center Street Advisors Inc. from March 6, 2017, to […]

FINRA BrokerCheck barred securities broker Roy Kevin Williams [CRD: 843607, Indianapolis, Indiana], according to disclosures on BrokerCheck. According to the regulator, Williams worked for Stifel Nicolaus Company Inc. from June 17, 2009, to May 16, 2023. Here’s more about the securities broker’s disclosures. FINRA Sanctioned Williams For Failing To Testify Specifically, on September 5, 2024, […]