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TW

Thomas Y. Williams

CABOT LODGE SECURITIES
Johns Island, SC
Some features on this profile are disabled
CRD#: 1372002
TW

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"?
No

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

BD
CRD#: 159712
Johns Island, SC
Past

June 11, 2018 - September 27, 2019

IFS SECURITIES

BD
CRD#: 40375
ATLANTA, GA
Past

August 18, 2010 - June 11, 2018

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
JOHN'S ISLAND, SC
Past

June 13, 2005 - September 2, 2010

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
MT. PLEASANT, SC
Past

October 30, 1996 - June 13, 2005

ROUND HILL SECURITIES, INC.

BD
CRD#: 35223
ALAMO, CA
Past

May 9, 1989 - September 17, 1996

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
ATLANTA, GA
Past

October 28, 1988 - April 25, 1989

B C FINANCIAL CORPORATION

BD
CRD#: 13460
Past

June 19, 1985 - November 2, 1988

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

State Registrations and Notice Filings

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

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
Maryland
(10/8/2019)
RR
New Jersey
(10/7/2019)
RR
South Carolina
(10/3/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 7/1/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/2/1986
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS LLCMEMBER
FEIGENBLATT, ELANA RACHELCOO4880188
GOULD, CRAIG MICHAELPRESIDENT/CEO2367293
LEIBOWITZ, ROGER FARRELLFINOP2536523
SMITH, STEPHEN JOSEPHOPTIONS PRINCIPAL1123669
WEBB, WILLIAM DUDLEY JRCHIEF COMPLIANCE OFFICER1256777

Disclosures

Regulatory Event2
Arbitration1

Red Flags

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

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CABOT LODGE SECURITIES LLC

CRD#: 159712Johns Island, SC

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