Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas James has been in the financial services industry since 1964. Thomas is currently registered with Raymond James & Associates, Inc. and is an active Registered Representative and Investment Adviser Representative. Thomas is a Series 7, 24, 53, 63, 65, and SIE licensed individual. Thomas has been registered with several firms over the years, including Investment Management & Research, Inc.
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
FL
01/01/2025 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
NA
05/30/1974 - 09/11/1990
INVESTMENT MANAGEMENT & RESEARCH, INC
NA
03/22/1968 - 11/02/1973
INVESTMENT MANAGEMENT & RESEARCH INC
IA
Issued 12/16/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/21/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1965
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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