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TW

Thomas N. Williams

WILLOW WEALTH MARKETS
NEW YORK, NY 10016
Some features on this profile are disabled
CRD#: 4773501
TW

Professional summary

Thomas Neil Williams, who also goes by Thomas Williams, is a registered financial professional currently at WILLOW WEALTH MARKETS LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2020. Thomas has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Williams

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 Thomas Neil Williams'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

March 25, 2026 - Present

WILLOW WEALTH MARKETS LLC

Office #1: 245 Fifth Avenue 21st Floor, New York, NY 10016
BD
CRD#: 172295
NEW YORK, NY
Past

March 23, 2021 - April 17, 2024

MORGAN STANLEY

RIA
CRD#: 149777
New York, NY
Past

September 16, 2020 - April 17, 2024

MORGAN STANLEY

BD
CRD#: 149777
New York, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/23/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/16/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/31/2020
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/31/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WW
WILLOW WEALTH MARKETS LLC
REALCADRE COMPANY | YIELDSTREET MARKETS LLC | WILLOW WEALTH MARKETS LLC | REALCADRE LLC

CRD#: 172295 / SEC#: , 8-69506

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
300 Park Avenue 15th Floor, New York, NY 10022
Mailing Address
300 Park Avenue 15th Floor, New York, NY 10022
Phone number
(844) 943-5378
Established
Delaware since 06/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
YIELDSTREET HOLDINGS LLCHOLDING COMPANY
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
KERR, PETERCHIEF EXECUTIVE OFFICER5843450
MOSKATEL, JEFFREYCHIEF COMPLIANCE OFFICER7076288
SINELNIKOV, PETER SERGEYPRINCIPAL FINANCIAL OFFICER6493208

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

WILLOW WEALTH MARKETS LLC

CRD#: 172295New York, NY 10016

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