Thomas L. Hall
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 Lawrence Hall, CFP®, who also goes by Thomas L Hall, Tom Hall, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 7 firms and has passed the Series 63, SIE, 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
January 3, 2022 - February 9, 2026
INVESTMENT DISTRIBUTORS, INC.
March 31, 2009 - September 9, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 23, 2009 - January 3, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 20, 2007 - December 31, 2008
EQUITABLE DISTRIBUTORS, LLC
March 29, 2004 - May 18, 2006
TRANSAMERICA CAPITAL, LLC
September 10, 2003 - March 30, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 28, 2003 - July 7, 2003
THE LEADERS GROUP, INC.
April 17, 2001 - February 7, 2003
EQUITABLE DISTRIBUTORS, LLC
December 9, 1992 - April 30, 2001
MML INVESTORS SERVICES, 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
INVESTMENT DISTRIBUTORS, INC.
CRD#: 35490 / SEC#: , 8-46802
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT COMPANY | |
| BAGGETT, ALAN S | ASSISTANT FINANCIAL OFFICER | 8088232 |
| CARLSON, MARTHA L | DESIGNATED RESPONSIBLE LICENSED PRODUCER | 2731502 |
| COFFMAN, BENJAMIN PAUL | CHIEF FINANCIAL OFFICER | 6738662 |
| COLLAZO, KIMBERLY | ASSISTANT SECRETARY | 8075061 |
| CREUTZMANN, SCOTT EMIL | DIRECTOR | 5351383 |
| LANE, JAMIE LAURA | DIRECTOR | 5779720 |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
| MORSCH, LETITIA A | DIRECTOR & ASSISTANT SECRETARY | 5133531 |
| TENNENT, RAYBURN EDWARD | ASSISTANT FINANCIAL OFFICER | 6245099 |
| WAGNER, JAMES CARL JR | PRESIDENT & DIRECTOR | 4261922 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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