Willie J. Thomas

ALLIANCEBERNSTEIN L.P.

Washington, DC 20006

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CRD#: 5622201

Professional summary

Willie James Thomas III, CFP®, CIMA®, who also goes by Willie J Thomas III, Willie J Thomas, Willie James Thomas III, Willie James Thomas, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Washington, District Of Columbia and SANFORD C. BERNSTEIN & CO., LLC located in Washington, District Of Columbia.

Willie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Willie has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Willie James Thomas III'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®

CFP^®

Certified Financial Planner

Start date: 2017

CIMA^®

Certified Investment Management Analyst

Experience

Current

January 15, 2021 - Present

ALLIANCEBERNSTEIN L.P.

Office #1: 800 Connecticut Avenue N.w 1001, Washington, DC 20006

RIA

CRD#: 108477

Washington, DC

Current

January 14, 2021 - Present

SANFORD C. BERNSTEIN & CO., LLC

Office #1: 800 Connecticut Avenue, N.w. Suite 1100, Washington, DC 20006-2720

RIA

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

CRD#: 5167

FALLS CHURCH, VA

Past

July 7, 2016 - October 16, 2017

LIBERTY GROUP, LLC

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

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

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.

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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(3/22/2022)

Connecticut
(7/25/2024)

Delaware
(3/22/2022)

District of Columbia
(3/1/2021)

IAR

District of Columbia
(3/1/2021)

Florida
(8/18/2022)

IAR

Florida
(9/7/2022)

Georgia
(7/25/2024)

Maryland
(12/20/2021)

Montana
(3/15/2024)

North Carolina
(3/22/2022)

Ohio
(3/22/2022)

Pennsylvania
(12/8/2023)

IAR

Virginia
(1/15/2021)

Virginia
(3/1/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/17/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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 Accounts	68,593
AUM (Assets Under Management)	$ 709,162,000,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E 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.

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Advisor Monitoring

Firm Stability Insights

Willie J. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Willie James Thomas III's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANFORD C. BERNSTEIN & CO., LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

LIBERTY GROUP, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

ALLIANCEBERNSTEIN L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/17/2009

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2008

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLIANCEBERNSTEIN L.P.

TRUST BUT VERIFY

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