Thomas C. Thomas

EQUITABLE DISTRIBUTORS

Charlotte, NC 28262

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CRD#: 4279160

Professional summary

Thomas C Thomas, who also goes by Thomas Thomas, Tom Thomas, is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2005. Thomas has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Thomas | Tom Thomas

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.

Name: Tom Thomas Inv Rel: Y Add: Residential address Nature: Outside Insurance Business Position: Independent Insurance Agent Start: 3/25/2022 No hrs/mo: 5 No hrs/mo dur trading: 0 Describe duties: Life, Fixed Annuities, Disability, Long Term Care, and Health.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 19, 2022 - Present

EQUITABLE DISTRIBUTORS, LLC

Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262

CRD#: 25900

Charlotte, NC

Past

March 30, 2022 - April 27, 2022

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Warren, NJ

Past

March 25, 2022 - April 27, 2022

MML INVESTORS SERVICES, LLC

CRD#: 10409

Warren, NJ

Past

May 30, 2013 - April 6, 2022

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

EDISON, NJ

Past

December 20, 2010 - April 6, 2022

EQUITABLE ADVISORS, LLC

CRD#: 6627

EDISON, NJ

Past

November 29, 2005 - January 4, 2011

NYLIFE SECURITIES LLC

CRD#: 5167

EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Connecticut
(1/31/2025)

Delaware
(1/31/2025)

Maine
(1/31/2025)

Massachusetts
(1/31/2025)

New Hampshire
(1/31/2025)

New Jersey
(5/19/2022)

Rhode Island
(1/31/2025)

Vermont
(1/31/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/21/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/22/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/22/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/28/2005

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

EQUITABLE DISTRIBUTORS, LLC

AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC

CRD#: 25900 / SEC#: , 8-42123

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

8501 Ibm Drive, Suite 150, Charlotte, NC 28262

Mailing Address

1345 Avenue Of The Americas, New York, NY 10105

Phone number

(212) 314-2137

Established

Delaware since 01/01/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
EQ HOLDINGS, LLC	OWNER
D'AUGUSTE, ARIELLE RACHEL	GENERAL COUNSEL	7252573
DURSO, ALFRED JOSEPH	CHIEF COMPLIANCE OFFICER	2546771
KAIS, JAMES MICHAEL	DIRECTOR	2529327
LANE, NICHOLAS BURRITT	CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER	4994948
SCANLON, STEPHEN CAULEY	DIRECTOR	2219308
SCAPPATOR, CANDACE LYNN	FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER	4697607

Disclosures

Arbitration

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.

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Advisor Monitoring

Firm Stability Insights

Thomas C. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas C Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/2013

Series 63

Date: 11/22/2006

SIE

Date: 10/1/2018

Series 7

Date: 10/22/2012

Series 6

Date: 11/28/2005

FINRA

Current Firm

EQUITABLE DISTRIBUTORS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EQUITABLE DISTRIBUTORS, LLC

TRUST BUT VERIFY

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