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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Brock is a financial advisor with Raymond James & Associates, Inc. Thomas has been in the industry since 2001. Thomas is registered with the state of Vermont and Florida and has worked at Barclays Capital Inc., and Lehman Brothers Inc. in the past. Thomas's areas of specialization include retirement planning, college savings, and estate planning. Thomas is also a registered principal with the firm and has been active in the financial services industry for over two decades.
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
VT
06/07/2024 - Present
Raymond James & Associates, Inc. (Burlington VT)
MA
09/22/2008 - 02/10/2017
BARCLAYS CAPITAL INC. (BOSTON MA)
MA
10/02/2001 - 09/22/2008
LEHMAN BROTHERS INC. (BOSTON MA)
BOTH
Issued 05/31/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/10/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/26/2008
Series 24 - General Securities Principal Examination
BC
Issued 05/07/2024
Series 7TO - General Securities Representative Examination
BC
Issued 05/02/2024
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/2001
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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