TS
Thomas D. Sanders
FIRST FINANCIAL SERVICES
LITTLE ROCK, AR 72202
Some features on this profile are disabled
CRD#: 1280319
TS
Professional summary
Thomas Dixon Sanders, who also goes by Tom Sanders, is a registered financial advisor currently at FIRST FINANCIAL SERVICES, LLC located in Little Rock, Arkansas and M. S. HOWELLS & CO. located in Little Rock, Arkansas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Sanders
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.MARCH 2024; FIRST FINANCIAL SERVICES, LLC, LITTLE ROCK, AR; INVESTMENT RELATED; REGISTERED INVESTMENT ADVISOR; RIA REPRESENTATIVE; CEO; OPERATIONAL DUTIES OF RIA; DEVOTE 80 HRS/MO, 80 HRS/MO DURING MARKET HOURS. 2.MARCH 2010; SANDERS FINANCIAL, INC, LITTLE ROCK, AR; NON INVESTMENT RELATED; DBA TO PAY SALARY; PRESIDENT; ADMINISTRATIVE; DEVOTE 1 HR/MO DURING MARKET HOURS. 3.SEPT 1990; REUNION ASSOCIATES, INC., LITTLE ROCK, AR; NON INVESTMENT RELATED; SALE FIXED LIFE, HEALTH AND DISABILITY INSURANCE; PRESIDENT; INSURANCE SALES; 50 HRS/MO DURING MARKET HOURS. 4. MAY 2007; SANDERS RIVER RESORT LLC, LITTLE ROCK, AR; NON INVESTMENT RELATED; RENTAL PROPERTY; MANAGING MEMBER; ADMINISTRATIVE; DEVOTE 2 HRS/MO DURING MARKET HOURS. 5.MAY 2005; SANDERS ART, LLC, LITTLE ROCK, AR; NON INVESTMENT RELATED; SPOUSE IS AN ARTIST, HELP PROMOTE HER ART AND HANDLE THE BOOKS; ADMINISTRATIVE; DEVOTE 5 HRS/MO DURING NON MARKET HOURS. 6.OCT 2015; SPRING FDN, LITTLE ROCK, AR; NON INVESTMENT RELATED; BOARD MEMBER; 501(C) 3; BOARD CHAIN, MANAGE BUDGET, PROMOTION; DEVOTE 20 HRS/MO, 10 HRS/MO DURING MARKET HOURS .
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Dixon Sanders's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 30, 2024 - Present
FIRST FINANCIAL SERVICES, LLC
Office #1: 1509 Mart Drive Suite B, Little Rock, AR 72202RIA
CRD#: 329276
LITTLE ROCK, AR
Current
November 2, 2018 - Present
M. S. HOWELLS & CO.
Office #1: 1509 Mart Drive Suite B, Little Rock, AR 72202BD
CRD#: 104100
LITTLE ROCK, AR
Past
March 1, 2024 - March 27, 2024
FIRST FINANCIAL SERVICES, LLC
RIA
CRD#: 329276
LITTLE ROCK, AR
Past
November 1, 2018 - March 5, 2024
SOWELL MANAGEMENT
RIA
CRD#: 127145
Little Rock, AR
Past
December 19, 2011 - November 6, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
LITTLE ROCK, AR
Past
December 19, 2011 - November 6, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Little Rock, AR
Past
October 16, 2002 - December 20, 2011
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
LITTLE ROCK, AR
Past
October 16, 2002 - December 20, 2011
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
LITTLE ROCK, AR
Past
January 4, 2001 - October 31, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
LITTLE ROCK, AR
Past
January 2, 2001 - October 31, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
Past
March 27, 1997 - December 31, 2000
ENERIC FINANCIAL SERVICES, INC.
BD
CRD#: 11761
FAIRFIELD, IA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FF
FIRST FINANCIAL SERVICES, LLC
FIRST FINANCIAL SERVICES, LLC
CRD#: 329276 / SEC#: 801-129538
RIA
Registered Investment Advisory firm - (2/22/2024 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/2/2018)
RR
Arkansas(11/2/2018)
IAR
Arkansas(8/28/2024)
RR
California(11/2/2018)
RR
Colorado(12/3/2018)
RR
District of Columbia(11/2/2018)
RR
Florida(11/2/2018)
RR
Illinois(11/16/2018)
RR
Indiana(4/8/2022)
RR
Iowa(11/2/2018)
RR
Kansas(11/2/2018)
RR
Kentucky(11/25/2020)
RR
Louisiana(11/2/2018)
RR
Maryland(11/2/2018)
RR
Minnesota(11/2/2018)
RR
Mississippi(11/21/2018)
RR
Missouri(11/2/2018)
RR
Nebraska(11/2/2018)
RR
Nevada(11/2/2018)
RR
New Mexico(11/2/2018)
RR
New York(11/2/2018)
RR
North Carolina(11/2/2018)
RR
Oklahoma(12/5/2018)
RR
Oregon(11/2/2018)
RR
South Carolina(11/2/2018)
RR
Tennessee(5/22/2024)
RR
Texas(11/2/2018)
IAR
Texas(4/30/2024)
RR
Utah(11/2/2018)
RR
Virginia(11/2/2018)
RR
Wisconsin(11/2/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FIRST FINANCIAL SERVICES, LLC
FIRST FINANCIAL SERVICES, LLC
CRD#: 329276 / SEC#: 801-129538
RIA
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Contact information
Main Address
1509 Mart Drive Suite B, Little Rock, AR 72202
Mailing Address
Phone number
(501) 666-0302
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 204 |
| AUM (Assets Under Management) | $ 100,831,612 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FIRST FINANCIAL SERVICES, LLC
CRD#: 329276Little Rock, AR 72202TRUST BUT VERIFY
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