TW
Thomas T. Williams
THRIVENT INVESTMENT MANAGEMENT
Peachtree City, GA
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CRD#: 5792292
TW
Professional summary
Thomas Thackery Williams Jr, who also goes by Thomas T Williams Jr, Thomas Thackery Williams Jr., Thomas Thackery Williams, Thomas Williams Jr, Thomas Williams, Thomas T Williams Jr, Thomas T Williams, Thomas Williams Jr, Thomas Williams, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Peachtree City, Georgia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Thomas has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas T Williams Jr | Thomas Thackery Williams Jr. | Thomas Thackery Williams | Thomas Williams Jr | Thomas Williams | Thomas T Williams Jr | Thomas T Williams | Thomas Williams Jr | 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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Thackery Williams Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Thackery Williams Jr'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
July 1, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Peachtree City, GA
Current
July 1, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S Msc 7100, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
Past
March 24, 2022 - May 9, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
PEACHTREE CITY, GA
Past
March 16, 2022 - May 9, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
JACKSONVILLE, FL
Past
October 22, 2012 - March 23, 2022
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
ATLANTA, GA
Past
July 10, 2012 - March 23, 2022
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ATLANTA, GA
Past
January 19, 2012 - April 27, 2012
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ATLANTA, GA
Past
September 28, 2011 - April 27, 2012
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ATLANTA, GA
Past
July 27, 2010 - January 14, 2011
EDWARD JONES
RIA
CRD#: 250
PEACHTREE CITY, GA
Past
June 28, 2010 - January 14, 2011
EDWARD JONES
BD
CRD#: 250
PEACHTREE CITY, GA
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".
TI
THRIVENT INVESTMENT MANAGEMENT INC.
AAL CAPITAL MANAGEMENT CORPORATION | THRIVENT INVESTMENT MANAGEMENT INC. | FORTRESS DISTRIBUTORS, INC. | AAL DISTRIBUTORS INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
RIA
Registered Investment Advisory firm - SEC (5/18/1987 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Alabama(7/12/2024)
RR
Alaska(7/12/2024)
RR
Arizona(7/12/2024)
RR
Arkansas(7/12/2024)
RR
California(7/12/2024)
RR
Colorado(7/12/2024)
RR
Connecticut(7/12/2024)
RR
Delaware(7/12/2024)
RR
District of Columbia(7/12/2024)
IAR
District of Columbia(7/15/2024)
RR
Florida(7/12/2024)
RR
Georgia(7/1/2024)
IAR
Georgia(7/1/2024)
RR
Hawaii(7/12/2024)
RR
Idaho(7/12/2024)
RR
Illinois(7/12/2024)
RR
Indiana(7/12/2024)
RR
Iowa(7/12/2024)
RR
Kansas(7/12/2024)
RR
Kentucky(7/12/2024)
RR
Louisiana(7/12/2024)
RR
Maine(7/12/2024)
RR
Maryland(7/12/2024)
RR
Massachusetts(7/12/2024)
RR
Michigan(7/12/2024)
RR
Minnesota(7/12/2024)
RR
Mississippi(7/12/2024)
RR
Missouri(7/12/2024)
RR
Montana(7/12/2024)
RR
Nebraska(7/12/2024)
RR
Nevada(7/12/2024)
RR
New Hampshire(7/12/2024)
RR
New Jersey(7/12/2024)
RR
New Mexico(7/12/2024)
RR
New York(7/12/2024)
RR
North Carolina(7/12/2024)
RR
North Dakota(7/12/2024)
RR
Ohio(7/12/2024)
RR
Oklahoma(7/12/2024)
IAR
Oklahoma(7/15/2024)
RR
Oregon(7/12/2024)
RR
Pennsylvania(7/12/2024)
RR
Rhode Island(7/12/2024)
RR
South Carolina(7/12/2024)
RR
South Dakota(7/12/2024)
RR
Tennessee(7/12/2024)
RR
Texas(7/12/2024)
IAR
Texas(7/12/2024)
RR
Utah(7/12/2024)
RR
Vermont(7/12/2024)
RR
Virginia(7/12/2024)
RR
Washington(7/12/2024)
RR
West Virginia(7/12/2024)
RR
Wisconsin(7/12/2024)
RR
Wyoming(7/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TI
THRIVENT INVESTMENT MANAGEMENT INC.
AAL CAPITAL MANAGEMENT CORPORATION | THRIVENT INVESTMENT MANAGEMENT INC. | FORTRESS DISTRIBUTORS, INC. | AAL DISTRIBUTORS INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
RIA
Registered Investment Advisory firm - SEC (5/18/1987 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
600 Portland Avenue South, Minneapolis, MN 55415
Mailing Address
600 Portland Avenue South, Minneapolis, MN 55415
Phone number
+1 (800) 847-4836
Established
Delaware since 07/29/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
3,846
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | |
| BIRR, THOMAS JOHN | VICE PRESIDENT | 4148092 |
| BOUSU, CALEB ANTHONY | DIRECTOR | 7877353 |
| CECERE, NICHOLAS M | DIRECTOR | 1513551 |
| GILCHRIST, TONIA NICOLE JAMES | CHIEF LEGAL OFFICER & SECRETARY | 4777233 |
| GOLIS, ANDREA CORIN | CHIEF COMPLIANCE OFFICER | 1401462 |
| JOHNSON, ARIKA VIKTORIA | DIRECTOR | 5580869 |
| JOHNSTON, PAUL ROBERTS | DIRECTOR | 2065882 |
| KLOSTER, DAVID JACOB | PRESIDENT | 2523240 |
| NORGARD, ANDREW DYLAN | TREASURER | 6868385 |
Regulatory assets under management
| Total Number of Accounts | 48,940 |
| AUM (Assets Under Management) | $ 17,499,525,490 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2024 | ||
| 01/25/2024 |
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.
