Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thad? Claim Your ProfileThad Fuller is an investment professional with over 39 years of experience in the financial industry. Thad is registered with Raymond James & Associates, Inc. and is licensed to provide investment advice in 51 states. Thad is a General Securities Principal and has the Series 4, 7, 9, 10, 24, and 63 licenses. Prior to joining Raymond James & Associates, Inc., Thad was employed at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Thad is dedicated to providing financial guidance and investment management services to a diverse range of clients, including individuals, businesses, and institutions. Thad is also a member of the St. Thomas High School Foundation, where he helps oversee the foundation's investments, expenses, and contributions.
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
TX
06/27/1997 - Present
Raymond James & Associates, Inc. (HOUSTON TX)
NY
07/26/1984 - 06/30/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 07/31/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 06/28/2001
Series 24 - General Securities Principal Examination
BC
Issued 05/03/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/03/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1984
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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