Thomas D. Williams
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.
Thomas Dan Williams, who also goes by Thomas D Williams, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2012 - June 27, 2012
AMERICAN INVESTORS GROUP, INC.
February 13, 2006 - April 20, 2012
ONYX WEALTH ADVISORS, INC.
May 13, 2005 - April 12, 2012
CAMBRIDGE LEGACY SECURITIES L.L.C.
July 11, 2003 - December 31, 2004
IMS SECURITIES, INC.
July 10, 2002 - May 16, 2005
IMS SECURITIES, INC.
January 29, 2001 - July 24, 2002
RUSHMORE SECURITIES CORPORATION
June 8, 1998 - February 27, 2001
NORTHSTAR SECURITIES, INC.
February 8, 1996 - December 9, 1998
DOMINION CAPITAL CORPORATION
April 10, 1992 - June 28, 1996
BLUEBONNET SECURITIES, INC.
October 9, 1989 - February 25, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 9, 1989 - February 25, 1992
SIGNATOR INVESTORS, INC.
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
AMERICAN INVESTORS GROUP, INC.
CRD#: 10020 / SEC#: , 8-38164
Contact information
Regulatory assets under management
| Total Number of Accounts | 33 |
| AUM (Assets Under Management) | $ 6,208,730 |
Disclosures
| Regulatory Event | 6 |
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.
