Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thom? Claim Your ProfileThom Williams is a financial advisor with Stifel, Nicolaus & Company, Inc. Thom has over 25 years of experience in the financial services industry. Thom is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed to sell securities in several states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
MO
01/04/2021 - Present
Stifel, Nicolaus & Company, Inc. (ST. LOUIS MO)
AL
03/09/2016 - 06/30/2016
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
MO
12/05/1995 - 06/26/1996
PAULI & COMPANY, INC (ST. LOUIS MO)
BC
Issued 08/23/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/02/2008
Series 4 - Registered Options Principal Examination
BC
Issued 02/29/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/09/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/01/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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