Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Francis Galvin is a financial professional with over 35 years of experience in the industry. Thomas currently works as a Registered Representative at Raymond James & Associates, Inc. Prior to joining Raymond James & Associates, Inc., Thomas worked at MORGAN KEEGAN & COMPANY, INC. and CITICORP SECURITIES, INC.. Thomas holds several licenses including Series 3, 7, 24, 52TO, 53, 63, 79TO, 99TO and SIE. Thomas is registered with the following states: California, Colorado, Georgia, Illinois, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Tennessee, Texas and Wisconsin.
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
TN
04/10/2012 - Present
Raymond James & Associates, Inc. (MEMPHIS TN)
TN
12/23/1998 - 03/13/2013
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NY
12/26/1986 - 09/24/1998
CITICORP SECURITIES, INC. (NEW YORK NY)
BC
Issued 09/02/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/27/2018
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/09/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/1989
Series 3 - National Commodity Futures Examination
BC
Issued 12/20/1986
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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