AdFi
JM

John Marshall Williams

Investment Adviser Representative at DOMINARI SECURITIES LLC

New York, NYCRD #2833948Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
27 yrs
States Registered
4 states
Exams Passed
11

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

John Marshall Williams has worked in the securities industry since 1999. They have passed the Series 99, 66, 65, 63, 53, 52, 24, 14, 7, and 4 examinations. They are registered to provide investment advisory services in Florida, New York, Pennsylvania, and Washington.

Registrations & licenses

Registration type
Dual-registered
Registered in 4 states
FloridaNew YorkPennsylvaniaWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 7/13/2024
Series 66
Uniform Combined State Law Examination
Passed 7/16/2005
Series 63
Uniform Securities Agent State Law Examination
Passed 2/25/1997
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/29/1997
Series 14
Compliance Officer Examination
Passed 1/2/2023
Series 53
Municipal Securities Principal Examination
Passed 4/1/2016
Series 4
Registered Options Principal Examination
Passed 4/16/2004
Series 24
General Securities Principal Examination
Passed 4/12/2000

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
On the first $5,000,0001.25%
On the next $5,000,0001.00%
On the next $15,000,0000.85%
On the next $25,000,0000.65%
On the next $25,000,0000.50%
On amounts over $75,000,0000.45%
Account minimum: $10,000,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Dominari Securities LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

DOMINARI SECURITIES LLCCurrent
10/8/2024New York, NY
ALEXANDER CAPITAL, L.P.
3/24/202110/9/2024Staten Island, NY
ARIVE CAPITAL MARKETS
3/27/20154/7/2021Bay Ridge, NY
SOUTHEAST INVESTMENTS, N.C., INC.
2/26/20133/20/2015Brooklyn, NY
MORGAN STANLEY SMITH BARNEY
3/4/20115/19/2011Purchase, NY
J.P. TURNER & COMPANY, L.L.C.
12/20/200612/31/2010Brooklyn, NY
TRIDENT PARTNERS LTD.
10/17/200511/30/2006Jericho, NY
EURO PACIFIC CAPITAL, INC.
7/6/200511/18/2005Westport, CT
ANDREW GARRETT INC.
12/17/20046/23/2005New York, NY
LH ROSS & COMPANY, INC.
4/8/20031/5/2005Boca Raton, FL
SALOMON GREY FINANCIAL CORPORATION
3/14/20024/11/2003Dallas, TX
DELTA ASSET MANAGEMENT COMPANY, LLC
11/14/20013/27/2002Mineola, NY
LH ROSS & COMPANY, INC.
3/24/200010/18/2001Boca Raton, FL
BAXTER BANKS & SMITH, LTD.
5/6/19983/1/2000St. Petersburg, FL
HARVESTONS SECURITIES, INC.
3/16/19985/13/1998Greenwood Village, CO
INTERNATIONAL BOND & SHARE, INC.
11/17/19973/24/1998St. Petersburg, FL
WEST AMERICA SECURITIES CORP
5/8/199711/18/1997Las Vegas, NV
SMITH, BENTON & HUGHES, INC.
1/30/19975/8/1997Los Angeles, CA

Official records & sources

Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at DOMINARI SECURITIES LLC

Showing 12 of 17 in the directory

View DOMINARI SECURITIES LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Marshall Williams has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

Find the right advisor for you

Take the free 3-minute assessment to get matched with advisors who fit your goals.

Get Matched
John Marshall Williams - Financial Advisor in New York, NY | AdvisorFinder