TH
Thomas L. Hall
INVESTMENT DISTRIBUTORS
Covington, KY 41011
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CRD#: 2300688
TH
Professional summary
Thomas Lawrence Hall, CFP®, who also goes by Thomas L Hall, Tom Hall, is a registered financial professional currently at INVESTMENT DISTRIBUTORS, INC. located in Covington, Kentucky.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas L Hall | Tom Hall
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
INSURANCE; Residence, Encinitas, CA; Investment Related; Insurance Agent; Start Date 07/2020; 1 hour per month; Appointed with Prudential to sell life insurance. I am writing a life policy on my mother. >> PROVERBS 19:8; Non-Investment Related; 3600 Harbor Blvd, #116, Oxnard CA 93035; Ministry; Board Member; Start Date 06/2019; 1 hour per month with that 1 hour per month occurring during trading hours; Christian Ministry which provides counsel and training in area of personal relationships. General advising on the board. No access to funds.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Lawrence Hall's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
January 3, 2022 - Present
INVESTMENT DISTRIBUTORS, INC.
Office #1: 50 E Rivercenter Blvd Suite 1600, Covington, KY 41011BD
CRD#: 35490
Covington, KY
Past
March 31, 2009 - September 9, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
ENCINITAS, CA
Past
March 23, 2009 - January 3, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
ENCINITAS, CA
Past
August 20, 2007 - December 31, 2008
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
March 29, 2004 - May 18, 2006
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
September 10, 2003 - March 30, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
January 28, 2003 - July 7, 2003
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
April 17, 2001 - February 7, 2003
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
December 9, 1992 - April 30, 2001
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/3/2022)
RR
Arizona(1/3/2022)
RR
Arkansas(1/3/2022)
RR
California(1/3/2022)
RR
Colorado(1/3/2022)
RR
Hawaii(1/3/2022)
RR
Idaho(1/3/2022)
RR
Illinois(1/3/2025)
RR
Indiana(1/3/2025)
RR
Iowa(1/3/2022)
RR
Kansas(1/3/2022)
RR
Louisiana(1/3/2022)
RR
Michigan(1/3/2025)
RR
Minnesota(3/30/2022)
RR
Mississippi(1/3/2022)
RR
Missouri(1/3/2022)
RR
Montana(1/5/2022)
RR
Nebraska(1/3/2022)
RR
Nevada(1/3/2022)
RR
New Hampshire(1/3/2025)
RR
New Mexico(1/3/2025)
RR
North Dakota(1/3/2022)
RR
Oklahoma(1/3/2022)
RR
Oregon(1/3/2022)
RR
South Dakota(1/3/2022)
RR
Texas(1/3/2022)
RR
Utah(1/3/2022)
RR
Washington(1/3/2022)
RR
Wisconsin(1/3/2025)
RR
Wyoming(1/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ID
INVESTMENT DISTRIBUTORS, INC.
INVESTMENT DISTRIBUTORS, INC.
CRD#: 35490 / SEC#: , 8-46802
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
2801 Highway 280 South, Birmingham, AL 35223
Mailing Address
2801 Highway 280 South, Birmingham, AL 35223
Phone number
(205) 868-3073
Established
Tennessee since 08/30/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT COMPANY | |
| 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 |
| LEE, FELICIA MALLOCH | SECRETARY | 7498538 |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
| MORSCH, LETITIA A | DIRECTOR & ASSISTANT SECRETARY | 5133531 |
| TENNENT, RAYBURN EDWARD | SR ANALYST FINANCIAL REPORTING | 6245099 |
| WAGNER, JAMES CARL JR | PRESIDENT & DIRECTOR | 4261922 |
Disclosures
| Regulatory Event | 1 |
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.
Company Information
INVESTMENT DISTRIBUTORS, INC.
CRD#: 35490Covington, KY 41011TRUST BUT VERIFY
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