Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Ross III has been in the financial services industry since July 20, 1987. He is currently registered as a registered representative with Raymond James & Associates, Inc. His office is located in Houston, TX and he has been with the firm since July 2007. Before joining Raymond James & Associates, Inc., Thomas Ross III was previously registered with UBS INTERNATIONAL INC., UBS PAINEWEBBER INC., KIDDER, PEABODY & CO. INCORPORATED, and PRUDENTIAL SECURITIES INCORPORATED. Thomas Ross III is licensed to sell securities in Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Florida, Illinois, Indiana, Kentucky, Louisiana, Maine, Maryland, Michigan, Missouri, New York, Ohio, Pennsylvania, South Dakota, Texas, and Washington. Thomas Ross III is also licensed to provide investment advice in Texas.
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
08/09/2007 - Present
Raymond James & Associates, Inc. (Houston TX)
TX
06/03/2002 - 06/13/2007
UBS INTERNATIONAL INC. (HOUSTON TX)
NJ
01/28/1995 - 06/03/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
10/21/1993 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
06/24/1987 - 10/25/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 06/30/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/05/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/1987
Series 3 - National Commodity Futures Examination
BC
Issued 06/20/1987
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
Not sure Thomas Ross is the right advisor for you? Invested Better is here to help.
