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GT

Grady G. Thomas

NATALLIANCE SECURITIES
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 445147
GT

Professional summary

Grady G Thomas JR, who also goes by Grady G Thomas, Grady Thomas Jr, is a registered financial professional currently at NATALLIANCE SECURITIES, LLC located in Charlotte, North Carolina.

Grady is registered as a RR (Registered Representative) and started their career in finance in 1968. Grady has worked at 11 firms and has passed the Series 99TO, Series 7TO, SIE, PC, Series 1, Series 27, Series 24 and F04 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Grady G Thomas | Grady Thomas Jr

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Grady G Thomas JR's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 1, 2020 - Present

NATALLIANCE SECURITIES, LLC

Office #1: 4201 Congress St, Ste 375, Charlotte, NC 28209
BD
CRD#: 39455
Charlotte, NC
Past

October 2, 2017 - April 6, 2020

HILLTOP SECURITIES INC.

BD
CRD#: 6220
Charlotte, NC
Past

July 3, 2017 - October 1, 2017

STONEX FINANCIAL INC.

BD
CRD#: 45993
Charlotte, NC
Past

May 2, 2014 - July 3, 2017

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
Charlotte, NC
Past

February 13, 2013 - May 6, 2014

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
CHARLOTTE, NC
Past

March 8, 2002 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
CHARLOTTE, NC
Past

December 6, 1977 - March 19, 2002

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

August 8, 1974 - December 16, 1977

BD
CRD#: 6407
Past

August 24, 1973 - September 22, 1974

THE POWELL GROUP INC

BD
CRD#: 1000006
Past

April 28, 1971 - December 13, 1973

BD
CRD#: 4433
Past

April 5, 1968 - May 19, 1971

BD
CRD#: 779

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
North Carolina
(4/6/2020)
RR
Texas
(4/15/2020)

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 4/4/1978
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 10/21/1964
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/2/2023
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
F04
Date: 5/14/1973
Financial Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NATALLIANCE SECURITIES, LLC
NATALLIANCE INVESTMENT BANKING | SINEX SECURITIES, LLC. | NATIONAL ALLIANCE SECURITIES, LLC | NATIONAL ALLIANCE SECURITIES CORPORATION | NATIONAL ALLIANCE CAPITAL, LLC | NATALLIANCE SECURITIES, LLC | NATALLIANCE SECURITIES

CRD#: 39455 / SEC#: , 8-48723

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
3101 Bee Cave Rd Suite 800, Austin, TX 78701
Mailing Address
3101 Bee Cave Rd Suite 270, Austin, TX 78746
Phone number
(512) 609-1700
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NATALLIANCE HOLDING COMPANY LLCOWNER
ADAMS, JASONBOARD MEMBER2690575
BRENNER, ANDREW SCOTTBOARD MEMBER1227535
BUSH, FRED COSTONCFO/COO3075024
CARREON, MICHELLE ELLISCCO4861485
GIORDANO, MICHAEL JAMESBOARD MEMBER5942248
HENDRICKSON, GEORGE ALEXANDER BROWNBOARD MEMBER2382347
LIEPMAN, JOHN FRANCISBOARD MEMBER2037298
LOERCH, SAMUEL JAMESBOARD MEMBER1195328
SALTER, MARK MYLESBOARD MEMBER/CEO/PRESIDENT1180139
TAYLOR, BRADFORD STEPHENBOARD MEMBER5751455

Disclosures

Regulatory Event8

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

NATALLIANCE SECURITIES, LLC

CRD#: 39455Charlotte, NC 28209

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