Thomas D. Roberts
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 Duval Roberts III, who also goes by Thomas D Roberts III, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2002 - February 7, 2025
HMC INVESTMENTS, LLC
October 1, 1999 - April 5, 2002
WELLS FARGO CLEARING SERVICES, LLC
April 18, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
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
HMC INVESTMENTS, LLC
CRD#: 40581 / SEC#: , 8-49140
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
