Thomas J. Pericak

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CRD#: 6976982

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.

Thomas James Pericak was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2018. Thomas had worked at 1 firm and has passed the Series 63, SIE and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

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)

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®

None

Experience

Past

August 29, 2018 - December 21, 2023

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

NEW ORLEANS, LA

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".

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK INVESTMENT SERVICES, INC. | WHITNEY INVESTMENT SERVICES | HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637 / SEC#: 801-68420, 8-49106

RIA

Registered Investment Advisory firm - SEC (10/24/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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.

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.

Exams

State Security Law Exam

Series 63

Date: 6/4/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 52

Date: 8/29/2018

Municipal Securities Representative Examination

Current Firm

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK INVESTMENT SERVICES, INC. | WHITNEY INVESTMENT SERVICES | HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637 / SEC#: 801-68420, 8-49106

RIA

Registered Investment Advisory firm - SEC (10/24/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

701 Poydras St. Suite 3100, New Orleans, LA 70139

Mailing Address

701 Poydras St. Suite 3100, New Orleans, LA 70139

Phone number

+1 (800) 385-4188

Established

Mississippi since 10/12/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (3 States and Territories)

FINRA licenses (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HWIS ADV PART 2A BROCHURE - MARCH 30, 2025 (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
HANCOCK WHITNEY CORPORATION	SHAREHOLDER
BARTLETT, DONNA	BROKER DEALER - CHIEF COMPLIANCE OFFICER	1813672
LOUPE, PATRICIA KIVES	ASSISTANT SECRETARY	6796549
MILTON, MILES STUART	PRESIDENT/CEO AND DIRECTOR	1518016
NICHOALDS, STUART TODD	AML/BSA OFFICER	6607342
RIGNEY, JOHN MARIO JR	RIA-CCO/VP/SECRETARY & DIRECTOR	2032572
SCHEXNAYDER, ANITA GREGOIRE	VICE PRESIDENT/CHIEF FINANCIAL OFFICER & DIRECTOR	6453588

Regulatory assets under management

Total Number of Accounts	1,031
AUM (Assets Under Management)	$ 210,606,113

Disclosures

Regulatory Event	2
Arbitration	2

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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Thomas J. Pericak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HANCOCK WHITNEY INVESTMENT SERVICES INC.

Primary Firm SEC Registration

HANCOCK WHITNEY INVESTMENT SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/4/2020

SIE

Date: 10/1/2018

Series 52

Date: 8/29/2018

Current Firm

HANCOCK WHITNEY INVESTMENT SERVICES INC.

Contact information

SEC notice filing (3 States and Territories)

FINRA licenses (5 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HANCOCK WHITNEY INVESTMENT SERVICES INC.

TRUST BUT VERIFY

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