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Managing Member, President, CEO, Chief Compliance Officer · Prestige Wealth Management Group, LLC

Roy E. Williams

CRD 1161149 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Prestige Wealth Management Group, LLC, an SEC-registered wealth manager based in Flemington, NJ with $666 million in regulatory assets, lists Roy E. Williams on its Form ADV as Managing Member, President, CEO, Chief Compliance Officer, a control person. The SEC filings also name Roy at 1 other registered adviser.

Firms and roles

  • Prestige Wealth Management Group, LLCManaging Member, President, CEO, Chief Compliance OfficerWealth manager · Flemington, NJ · $666M in regulatory assets
  • The Pillar StrategiesPrincipal, President, Chief Executive Officer, Chief Compliance Officer and Chief Investment OfficerAsset manager · Flemington, NJ · $175M in regulatory assets

AtlasMembers

Roy’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
2 firmsLocked
Control-person status
2 firmsLocked
When each role began
Locked
Each firm’s assets and growth
Locked
Search and export owners by title, state and firm size
Locked
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

SEC adviser record

Registered since
2002 (24 years)
Designations
Chartered Financial Consultant
Exams
Series 63
Registered in
1 state
Also a broker representative
Yes
Disclosures on record
Yes, see the SEC record

AtlasMembers

Roy’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
Locked
Previous firms, with start and end dates
1 firmLocked
Employment history
Locked
States they’re registered in
Locked
Outside business activities
Locked
When they joined their current firm, and their firm’s growth
Locked
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Howard J. SpivackDirector of Financial Planning, Prestige Wealth Management Group, LLC

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Roy’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.