Stephanie Ross Williams
Investment Adviser Representative at Tradewinds, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Stephanie Ross Williams is an investment adviser representative with Tradewinds, LLC in Raleigh, NC, where they have been registered since 2022. They have worked in the securities industry since 2006 and have been registered with 3 firms, including Wells Fargo Clearing Services, LLC and Citigroup Global Markets Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in North Carolina.
Office
Advisors at this office: 10
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- North Carolina
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Wells Fargo Advisors LLCAug 2010 – Nov 2016Burlington, NC
- Wells Fargo Clearing Services, LLCNov 2016 – Jan 2022Burlington, NC
- Tradewinds, LLC.Nov 2021 – no end date reportedRaleigh, NC
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Tradewinds, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$500M–$1B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 10
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Raleigh, NC
- SEC file number:
- 801-122614
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 13, 2026
View full firm profileOther advisors at Tradewinds, LLC
9 other advisors in the directory
Similar advisors in Raleigh, NC
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Stephanie Ross 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.
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