Thomas R. 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 Raymond Williams SR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 3 firms and has passed the SIE, Series 7 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
September 19, 2012 - August 21, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
April 8, 2011 - June 22, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
January 30, 2003 - December 1, 2005
FIFTH THIRD SECURITIES, INC.
March 27, 1999 - February 16, 2001
FIFTH THIRD SECURITIES, INC.
January 25, 1999 - March 27, 1999
FIFTH THIRD SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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