Thomas T. 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 Taylor Williams, who also goes by Thomas Williams, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 4 firms and has passed the Series 63, Series 55, Series 7, Series 27 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
February 13, 2013 - July 18, 2013
HLM SECURITIES, INC.
September 2, 2010 - April 18, 2011
MELVIN SECURITIES, L.L.C.
November 11, 2009 - October 26, 2010
HLM SECURITIES, INC.
April 25, 2007 - December 17, 2007
EMPIRE FINANCIAL GROUP, INC.
July 19, 1993 - December 14, 2006
KWS ASSOCIATES, 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
Series 55
Date: 4/3/2001
Limited Representative-Equity Trader ExamCurrent Firm
HLM SECURITIES, INC.
CRD#: 133216 / SEC#: , 8-66700
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
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.
