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Johnny Arthur Williams

Investment Adviser Representative at ALLY INVEST ADVISORS

Charlotte, NCCRD #4941443Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
21 yrs
States Registered
1 states
Exams Passed
5

Professional summary

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

Johnny Arthur Williams has worked in the securities industry since 2005. They are registered to provide investment advisory services in North Carolina.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
North Carolina
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 6/17/2005
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 5/16/2005
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 12/2/2006
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 4/3/2006

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
Tier 1 - First $250,0000.85%
Tier 2 - Next $750,000 up to $1,000,0000.80%
Tier 3 - Above $1,000,0000.75%
Account minimum: $100,000

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

Source

ALLY Invest Advisors Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ALLY INVEST ADVISORSCurrent
5/12/2023Charlotte, NC
MORGAN STANLEY
2/24/20205/12/2023Columbia, SC
LPL FINANCIAL LLC
3/26/20152/26/2020Fort Mill, SC
WELLS FARGO ADVISORS, LLC
2/12/20133/19/2015Winston-salem, NC
MORGAN STANLEY
6/1/20092/27/2013Winston-salem, NC
CITIGROUP GLOBAL MARKETS INC.
8/23/20056/1/2009Columbia, SC

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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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. Johnny Arthur 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.

Johnny Arthur Williams - Financial Advisor in Charlotte, NC | AdvisorFinder