Thomas H. Willis
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 Hugh Willis, who also goes by Tom Willis, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1976. Thomas had worked at 11 firms and has passed the Series 63, SIE, PC, Series 7, Series 27, Series 53, Series 12, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2015 - July 13, 2017
FIRST CITIZENS INVESTOR SERVICES, INC.
September 2, 2015 - July 13, 2017
FIRST CITIZENS INVESTOR SERVICES, INC.
May 14, 2014 - September 17, 2015
CUSO FINANCIAL SERVICES, L.P.
May 14, 2014 - September 17, 2015
CUSO FINANCIAL SERVICES, L.P.
October 14, 2013 - May 8, 2014
STRATOS WEALTH PARTNERS, LTD
October 9, 2013 - May 15, 2014
LPL FINANCIAL LLC
January 31, 2002 - September 10, 2012
BB&T INVESTMENT SERVICES, INC.
September 19, 1997 - September 10, 2012
BB&T INVESTMENT SERVICES, INC.
March 23, 1988 - September 19, 1997
UCB INVESTOR SERVICES, INC.
April 30, 1981 - April 28, 1988
AMERIPRISE ADVISOR SERVICES, INC.
August 7, 1979 - May 15, 1981
HARLEYSVILLE SECURITIES CORPORATION
February 24, 1978 - September 2, 1978
MORGAN STANLEY DW INC.
August 20, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
April 23, 1976 - September 5, 1976
HARLEYSVILLE SECURITIES CORPORATION
January 2, 1976 - May 19, 1976
INVESTMENT MANAGEMENT & RESEARCH INC
Primary Firm SEC Registration
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
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
PC
Date: 10/1/1981
AMEX Put and Call ExamSeries 12
Date: 5/21/1983
NYSE Branch Manager ExaminationCurrent Firm
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST-CITIZENS BANK & TRUST COMPANY | 100% OWNER | |
| BILITER, DAVID LEE | DIRECTOR, PRESIDENT | 1690995 |
| CECE, MARY | SECRETARY | 2135583 |
| LONGEST, MICHAEL LEE | DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY | 6692593 |
| MARRONE, MARK STEPHEN | CHIEF COMPLIANCE OFFICER | 1987907 |
| MCCALLUM, CHARLES FALCONER III | DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE | 2697260 |
| WALSH, WILLIAM JAMES | DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR | 4883580 |
| WILSON, MICHAEL CHRISTOPHER | DIRECTOR, WEALTH MANAGEMENT EXECUTIVE | 4301352 |
Regulatory assets under management
| Total Number of Accounts | 6,706 |
| AUM (Assets Under Management) | $ 2,098,769,026 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 |
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.
