TW
Thomas P. Williams
INTRUA FINANCIAL
Houston, TX 77098
Some features on this profile are disabled
CRD#: 468335
TW
Professional summary
Thomas Paul Williams is a registered financial advisor currently at INTRUA FINANCIAL located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Thomas has worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) 10/21/2003: NO BUSINESS NAME - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - INSURANCE
(2) 03/11/2015: INTRUA FINANCIAL - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - START 04/02/2015 - NO TIME SPENT.
(3) 10/9/2015: Intrua Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 10/15/2015 - 120 Hours Per Month During Securities Trading - Serve as an Investment Advisor Representative under Intrua Financial RIA. Activities may include financial planning, rendering investment advice for a fee, retirement plan consulting, or other related financial consulting.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Paul Williams'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®
NoneExperience
Current
October 28, 2015 - Present
INTRUA FINANCIAL
Office #1: 3737 Buffalo Speedway Suite 400, Houston, TX 77098RIA
CRD#: 281554
Houston, TX
Current
October 1, 2003 - Present
LPL FINANCIAL LLC
Office #1: 3737 Buffalo Speedway Ste 400, Houston, TX 77098RIA
BD
CRD#: 6413
Houston, TX
Past
October 1, 2003 - September 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
July 29, 2002 - October 1, 2003
IMS SECURITIES, INC.
RIA
CRD#: 35567
HOUSTON, TX
Past
July 29, 2002 - October 1, 2003
IMS SECURITIES, INC.
BD
CRD#: 35567
HOUSTON, TX
Past
January 12, 1996 - July 31, 2002
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
April 3, 1992 - January 22, 1996
BERKSHIRE EQUITY SALES, INC.
BD
CRD#: 87
PITTSFIELD, MA
Past
May 15, 1990 - March 18, 1992
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
April 16, 1990 - March 18, 1992
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
September 5, 1973 - March 14, 1990
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IF
INTRUA FINANCIAL
COMPASS WEALTH SOLUTIONS | WORKOPTIONAL | RANDY GILLESPIE & ASSOCIATES | OAKMONT FINANCIAL GROUP | JEFF PEACE FINANCIAL | INTRUA FINANCIAL LLC | INTRUA FINANCIAL ADVISORY SERVICES | INTRUA FINANCIAL | HORIZENT TEAM | FREEDOM WEALTH ALLIANCE | CORNERSTONE INVESTMENT STRATEGIES
CRD#: 281554 / SEC#: 801-106767
RIA
Registered Investment Advisory firm - (10/23/2015 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(4/6/2020)
IAR
California(10/28/2015)
RR
Maryland(12/22/2020)
RR
Minnesota(6/14/2013)
RR
Missouri(5/20/2011)
RR
New York(2/23/2010)
RR
Texas(10/1/2003)
IAR
Texas(10/28/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/27/1973
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
IF
INTRUA FINANCIAL
COMPASS WEALTH SOLUTIONS | WORKOPTIONAL | RANDY GILLESPIE & ASSOCIATES | OAKMONT FINANCIAL GROUP | JEFF PEACE FINANCIAL | INTRUA FINANCIAL LLC | INTRUA FINANCIAL ADVISORY SERVICES | INTRUA FINANCIAL | HORIZENT TEAM | FREEDOM WEALTH ALLIANCE | CORNERSTONE INVESTMENT STRATEGIES
CRD#: 281554 / SEC#: 801-106767
RIA
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Contact information
Main Address
3737 Buffalo Speedway Suite 400, Houston, TX 77098
Mailing Address
Phone number
(713) 355-9910
Established
Firm type
Fiscal year end
# of Employees
48
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,051 |
| AUM (Assets Under Management) | $ 1,212,765,982 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
