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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

THOMAS B WILLIAMS

Advisor at MERIT FINANCIAL ADVISORS

ALPHARETTA, GA | COLORADO SPRINGS, CO

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Search this name across graphsid dfx:ria:02f86cfa-e5a7-077e-7a29-f303eedcd4df

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Apr 14, 1999 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERIT FINANCIAL ADVISORS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 14, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S63
First exam: Dec 27, 2021
First registration: Apr 14, 1999
Dual registered: yes, broker-dealer
Other names: Tom Williams|THOMAS B WILLIAMS
IAPD individual key: 1262411

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERIT FINANCIAL ADVISORS	Bd affiliated wealth	Mar 24, 2020	n/a	yes	ALPHARETTA, GA\|COLORADO SPRINGS, CO	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 28, 2020	Aug 16, 2024	no	COLORADO SPRINGS, CO\|BROOMFIELD, CO	Previous registration
I.M. FINANCIAL, LLC	n/a	May 1, 2020	Apr 19, 2022	no	Colorado Springs, CO\|GREENWOOD VILLAGE, CO	Previous registration
WESTWOOD WEALTH MANAGEMENT	Mixed wealth	Nov 17, 2017	Feb 24, 2020	no	Houston, TX	Previous registration
LEGACY ASSET MANAGEMENT, INC.	Former SEC adviser	Apr 14, 1999	May 10, 2007	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	n/a	Aug 16, 2024	n/a	n/a	Departure no registered destination	Departure
I.M. FINANCIAL, LLC	LPL FINANCIAL LLC	Apr 19, 2022	Oct 28, 2020	-538	Firm change after gap	Other
WESTWOOD WEALTH MANAGEMENT	MERIT FINANCIAL ADVISORS	Feb 24, 2020	Mar 24, 2020	29	Firm change	RIA to RIA
LEGACY ASSET MANAGEMENT, INC.	WESTWOOD WEALTH MANAGEMENT	May 10, 2007	Nov 17, 2017	3,844	Firm change after gap	Other

Relationships

Registered with (5)

→ MERIT FINANCIAL ADVISORSRegistered adviserregistration: current employment
Mar 24, 2020 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 28, 2020 to Aug 16, 2024factForm ADV
→ I.M. FINANCIAL, LLCRegistered adviserregistration: previous registration
May 1, 2020 to Apr 19, 2022factForm ADV
→ WESTWOOD WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 17, 2017 to Feb 24, 2020factForm ADV
→ LEGACY ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 14, 1999 to May 10, 2007factForm ADV

Dated events

Occurred
Aug 16, 2024
Advisor departed, no destination yet
Thomas B Williams no longer registered at Lpl Financial Llc; no later IA registration on IAPD
Form ADVobserved 5 days ago
Occurred
Apr 19, 2022
Advisor changed firm
Thomas B Williams left I.M. Financial, Llc for Lpl Financial Llc (registered 2020-10-28)
Form ADVobserved 5 days ago