linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Carol C. Tomes

Raymond James & Associates, Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Carol? Claim Your Profile

About Carol C. Tomes

Carol C. Tomes is a financial advisor with Raymond James & Associates, Inc. located in Rockville, MD. Carol has been in the financial services industry since February 1988. Before joining Raymond James & Associates, Inc., Carol worked at MORGAN KEEGAN & COMPANY, INC., Legg Mason Wood Walker, Incorporated, and Johnston, Lemon & Co. Incorporated. Carol is licensed in Maryland. Carol has a Series 7, Series 63, and SIE license.

Firm Information

Carol Tomes is currently registered with Raymond James & Associates, Inc.. Raymond James & Associates, Inc. is a corporation headquartered in St. Petersburg, Florida, that was formed in February 1969. With a team of over 7,700 licensed agents, investment adviser representatives, and registered representatives, the firm manages over $433 billion in assets for a diverse clientele including high-net-worth individuals, corporations, insurance companies, pension plans, and charitable organizations. Raymond James offers a wide range of advisory services including financial planning, pension consulting, educational seminars, and portfolio management for individuals, businesses, and investment companies. The firm is registered with the Securities and Exchange Commission and is licensed to operate in all 50 states and the District of Columbia.
Raymond James & Associates, Inc.

880 CARILLON PARKWAY

ST. PETERSBURG, FL 33716

$433.81B

Assets Under Management

2,313

Total Clients

6,961

Total Financial Advisors

Services Offered

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

please see note in schedule d - miscellaneous

Please see note in schedule d - miscellaneous

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Carol Tomes’s Registration & Firm History

MD

02/13/2013 - Present

Raymond James & Associates, Inc. (ROCKVILLE MD)

MD

08/26/2005 - 02/13/2013

MORGAN KEEGAN & COMPANY, INC. (ROCKVILLE MD)

MD

09/22/1989 - 09/09/2005

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

DC

02/23/1988 - 09/16/1989

JOHNSTON, LEMON & CO. INCORPORATED (WASHINGTON DC)

Not sure if Carol C. Tomes is right for you?

Licenses & Designations

BC

Issued 03/23/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/20/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Carol C. Tomes.
Not sure if Carol C. Tomes is right for you?