AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TW

Thomas S. Williams

ZENITH SECURITIES
NORWALK, CT 06854
Some features on this profile are disabled
CRD#: 6322904
TW
Thomas Seth WilliamsZENITH SECURITIES

Professional summary

Thomas Seth Williams is a registered financial professional currently at ZENITH SECURITIES LLC located in Norwalk, Connecticut.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2014. Thomas has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

Aliases

None

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 Seth Williams'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®
None

Experience

Current

September 2, 2026 - Present

ZENITH SECURITIES LLC

Office #1: 85 Washington Street Suite 1f, Norwalk, CT 06854
BD
CRD#: 138135
NORWALK, CT
Past

May 25, 2016 - October 17, 2016

SALT SPRAY CAPITAL

BD
CRD#: 149675
AUSTIN, TX
Past

July 9, 2014 - October 23, 2014

MITCHELL ENERGY ADVISORS, LLC

BD
CRD#: 134989
DALLAS, TX

State Registrations and Notice Filings

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

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
Connecticut
(9/2/2026)
RR
Texas
(9/2/2026)

Exams

What does exam status mean?
State Security Law Exam
RR
Series 63
Status Unavailable
Passed: 9/2/2026
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Status Unavailable
Passed: 9/2/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 8/19/2026
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Status Unavailable
Passed: 7/9/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Status Unavailable
Passed: 8/6/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ZS
ZENITH SECURITIES LLC
HSH N FINANCIAL SECURITIES LLC | ZENITH SECURITIES LLC | ZENITH CAPITAL ADVISORS LLC | MID-SHIP SECURITIES LLC

CRD#: 138135 / SEC#: , 8-67146

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Loading...

Contact information

Main Address
85 Washington Street Suite 1f, Norwalk, CT 06854
Mailing Address
100 First Stamford Place Suite 330, Stamford, CT 06902
Phone number
(203) 253-5936
Established
Delaware since 08/23/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
HONDO HOLDINGS LLCMEMBER
ARORA, VRINDAFINOP7784034
BISCHOFF, STEVEN WALLACECEO1401631
WHITE, ALAN THOMASCCO2723669

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

ZENITH SECURITIES LLC

CRD#: 138135Norwalk, CT 06854

TRUST BUT VERIFY

Monitor Thomas Williams

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
GREENWICH, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
WHITE PLAINS, NY
Philip David Meese
Philip MeeseAdvisorCheck Check Mark
AE WEALTH MANAGEMENT, LLC
IAR
Darien, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.