William H. Thomas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Halford Thomas JR, who also goes by William Halford Thomas, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2016 - February 3, 2021
NORTHERN TRUST INVESTMENTS, INCORPORATED
September 19, 2014 - February 3, 2021
NORTHERN TRUST SECURITIES, INC.
November 3, 2010 - June 28, 2013
SIP NORDIC AMERICA LLC
February 26, 2003 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
January 8, 1991 - January 25, 2010
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
August 25, 1989 - November 27, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 21, 1987 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/24/2024
General Securities Representative ExaminationCurrent Firm
NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,475 |
| AUM (Assets Under Management) | $ 1,114,770,223,733 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 09/27/2024 | ||
| 08/24/2023 |
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.
