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WT

Willie J. Thomas

Some features on this profile are disabled
CRD#: 5622201
WT

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.

Willie James Thomas III, CFP®, CIMA®, who also goes by Willie J Thomas III, Willie J Thomas, Willie James Thomas III, Willie James Thomas, was a registered financial professional .

Willie is a previously registered financial professional and started their career in finance in 2008. Willie had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Willie J Thomas Iii | Willie J Thomas | Willie James Thomas Iii | Willie James 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

Certified Financial Planner

Start date: 2017

CIMA®

Certified Investment Management Analyst

Experience

Past

January 15, 2021 - February 3, 2026

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
Washington, DC
Past

January 14, 2021 - February 3, 2026

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
WASHINGTON, DC
Past

May 25, 2018 - November 2, 2020

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
FALLS CHURCH, VA
Past

April 11, 2018 - November 2, 2020

NYLIFE SECURITIES LLC

BD
CRD#: 5167
FALLS CHURCH, VA
Past

July 7, 2016 - October 16, 2017

LIBERTY GROUP, LLC

BD
CRD#: 106036
OAKLAND, CA
Past

March 28, 2013 - June 22, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
RALEIGH, NC
Past

March 28, 2013 - June 22, 2016

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
RALEIGH, NC
Past

November 2, 2010 - February 27, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
FAYETTEVILLE, NC
Past

November 2, 2010 - February 27, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
FAYETTEVILLE, NC
Past

February 20, 2009 - October 8, 2010

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA
CRD#: 3641
FAYETTEVILLE, NC
Past

December 15, 2008 - October 8, 2010

FIRST COMMAND BROKERAGE SERVICES, INC.

BD
CRD#: 3641
FAYETTEVILLE, NC

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".
AL
ALLIANCEBERNSTEIN L.P.
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA
Registered Investment Advisory firm - (8/13/1999 Approved)

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: 2/17/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/2008
General Securities Representative Examination

Current Firm

AL
ALLIANCEBERNSTEIN L.P.
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA
Registered Investment Advisory firm - (8/13/1999 Approved)
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Contact information

Main Address
501 Commerce Street, Nashville, TN 37203
Mailing Address
Phone number
(615) 622-0000
Established
Firm type
Fiscal year end
# of Employees
3,994

SEC notice filing (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT FORM ADV BROCHURE (3/28/2025)
INSTITUTIONAL FORM ADV BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts68,593
AUM (Assets Under Management)$ 709,162,000,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/19/2025
Cover Page
Report
11/25/2024
Cover Page
Report
10/27/2023
Cover Page
Report

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

ALLIANCEBERNSTEIN L.P.

CRD#: 108477

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