Thomas P. 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 Paul Williams was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1973. Thomas had worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2015 - December 31, 2025
INTRUA FINANCIAL
October 1, 2003 - September 8, 2016
LPL FINANCIAL LLC
October 1, 2003 - February 12, 2026
LPL FINANCIAL LLC
July 29, 2002 - October 1, 2003
IMS SECURITIES, INC.
July 29, 2002 - October 1, 2003
IMS SECURITIES, INC.
January 12, 1996 - July 31, 2002
MOMENTUM INDEPENDENT NETWORK INC.
April 3, 1992 - January 22, 1996
BERKSHIRE EQUITY SALES, INC.
May 15, 1990 - March 18, 1992
MSI FINANCIAL SERVICES, INC.
April 16, 1990 - March 18, 1992
METROPOLITAN LIFE INSURANCE COMPANY
September 5, 1973 - March 14, 1990
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
INTRUA FINANCIAL
CRD#: 281554 / SEC#: 801-106767
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 8/27/1973
Registered Representative ExaminationCurrent Firm
INTRUA FINANCIAL
CRD#: 281554 / SEC#: 801-106767
Contact information
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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