Thomas Y. Williams

CABOT LODGE SECURITIES LLC

Johns Island, SC

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CRD#: 1372002

Professional summary

Thomas Yancey Williams is a registered financial professional currently at CABOT LODGE SECURITIES LLC located in Johns Island, South Carolina.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Yancey Williams's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 1, 2019 - Present

CABOT LODGE SECURITIES LLC

CRD#: 159712

Johns Island, SC

Past

June 11, 2018 - September 27, 2019

IFS SECURITIES

CRD#: 40375

ATLANTA, GA

Past

August 18, 2010 - June 11, 2018

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

JOHN'S ISLAND, SC

Past

June 13, 2005 - September 2, 2010

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

MT. PLEASANT, SC

Past

October 30, 1996 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

May 9, 1989 - September 17, 1996

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

Past

October 28, 1988 - April 25, 1989

B C FINANCIAL CORPORATION

CRD#: 13460

Past

June 19, 1985 - November 2, 1988

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Maryland
(10/8/2019)

New Jersey
(10/7/2019)

North Carolina
(10/3/2019)

South Carolina
(10/3/2019)

Exams

State Security Law Exam

Series 63

Date: 7/1/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/2/1986

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CABOT LODGE SECURITIES LLC

CABOT LODGE SECURITIES LLC | WENTWORTH CAPITAL MARKETS | PRIME UNITED SECURITIES LLC

CRD#: 159712 / SEC#: , 8-69009

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

425 N Martingale Rd Suite 1220, Schaumburg, IL 60173

Mailing Address

425 N Martingale Rd Suite 1220, Schaumburg, IL 60173

Phone number

(212) 388-6200

Established

Delaware since 10/21/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS LLC	MEMBER
FEIGENBLATT, ELANA RACHEL	COO	4880188
GOULD, CRAIG MICHAEL	PRESIDENT/CEO	2367293
LEIBOWITZ, ROGER FARRELL	FINOP	2536523
SMITH, STEPHEN JOSEPH	OPTIONS PRINCIPAL	1123669
WEBB, WILLIAM DUDLEY JR	CHIEF COMPLIANCE OFFICER	1256777

Disclosures

Regulatory Event	2
Arbitration	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Thomas Y. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Yancey Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

IFS SECURITIES

INTERNATIONAL ASSETS ADVISORY, LLC

FIRST ALLIED SECURITIES, INC.

ROUND HILL SECURITIES, INC.

THE ROBINSON-HUMPHREY COMPANY, LLC

B C FINANCIAL CORPORATION

BLINDER, ROBINSON & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/1/1985

SIE

Date: 10/1/2018

Series 7

Date: 6/15/1985

Series 24

Date: 12/2/1986

FINRA

Current Firm

CABOT LODGE SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CABOT LODGE SECURITIES LLC

TRUST BUT VERIFY

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