William M. 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 Mccormick Thomas, who also goes by Bill 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 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2014 - August 19, 2015
PLYMOUTH REAL ESTATE CAPITAL, LLC
March 28, 2012 - January 16, 2013
CURIAN CLEARING, LLC
April 1, 2009 - May 20, 2011
ALPS DISTRIBUTORS, INC.
June 16, 2008 - March 19, 2009
GRAIL SECURITIES, LLC
September 18, 2000 - April 29, 2008
CHARLES SCHWAB & CO., INC.
July 15, 1998 - June 1, 2000
DWS DISTRIBUTORS, INC.
April 28, 1997 - June 1, 2000
DEAM INVESTOR SERVICES, INC.
December 14, 1994 - April 9, 1997
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
December 20, 1990 - October 28, 1994
PROFUNDS DISTRIBUTORS, INC.
July 29, 1987 - September 28, 1990
NUVEEN SECURITIES, LLC
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
Current Firm
PLYMOUTH REAL ESTATE CAPITAL, LLC
CRD#: 151910 / SEC#: , 8-68411
Contact information
Documents
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.
