Thomas S. Williams
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 Sterling Williams, who also goes by Sterling Williams, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2021. Thomas had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2022 - April 15, 2025
ARGENT ADVISORS, INC.
February 1, 2022 - July 27, 2022
LPL FINANCIAL LLC
December 15, 2021 - April 29, 2025
LPL FINANCIAL LLC
Primary Firm SEC Registration
ARGENT ADVISORS, INC.
CRD#: 112028 / SEC#: 801-60187
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/15/2021
General Securities Representative ExaminationCurrent Firm
ARGENT ADVISORS, INC.
CRD#: 112028 / SEC#: 801-60187
Contact information
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,582 |
| AUM (Assets Under Management) | $ 1,461,903,002 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 01/27/2025 | ||
| 03/27/2024 | ||
| 02/23/2023 |
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.
