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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn David Thomas is a financial advisor with over 28 years of experience in the industry. John is currently registered with Raymond James & Associates, Inc. and has held previous registrations with Morgan Keegan & Company, Inc. and Wachovia Securities, Inc. John is licensed in multiple states and holds the Series 7, 10, 9, 63, 65, and 31 licenses. John provides various advisory services, including financial planning, portfolio management for individuals and businesses, pension consulting, and educational seminars.
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.
Please see note in schedule d - miscellaneous
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.
1
2
NC
11/13/2017 - Present
Raymond James & Associates, Inc. (Wilmington NC)
NC
06/16/2000 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (WILMINGTON NC)
NC
12/12/1994 - 06/29/2000
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
MI
06/15/1994 - 12/01/1994
OLDE DISCOUNT CORPORATION (DETROIT MI)
IA
Issued 06/07/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/13/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/08/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 06/14/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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