Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tommy? Claim Your ProfileTommy Edward Elms is a financial advisor with over 28 years of experience in the industry. Tommy is currently registered with Raymond James & Associates, Inc. He holds a variety of licenses and certifications, including Series 6, 7, 9, 10, 24, 63, 65 and 66. He is also registered as an Investment Advisor Representative in Kansas and Texas. Tommy has a wide range of experience, including working with individual investors, businesses, and institutions. He provides financial planning, portfolio management, and other investment advisory services. Tommy is committed to providing his clients with personalized and comprehensive financial advice.
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
KS
09/14/2021 - Present
Raymond James & Associates, Inc. (Leawood KS)
CA
02/15/2012 - 06/26/2019
LPL FINANCIAL LLC (SAN DIEGO CA)
MA
11/10/2010 - 11/21/2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC. (BOSTON MA)
MA
09/26/2003 - 09/10/2010
JOHN HANCOCK DISTRIBUTORS LLC (BOSTON MA)
NY
06/14/2000 - 06/17/2002
FAM DISTRIBUTORS, INC. (NEW YORK NY)
CA
06/18/1999 - 06/15/2000
SELECT CAPITAL CORPORATION (SACRAMENTO CA)
NY
08/01/1997 - 06/25/1999
EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)
NY
08/01/1997 - 06/25/1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
KS
06/02/1993 - 08/01/1997
CORPORATE NETWORK BROKERAGE SERVICES, INC. (OVERLAND PARK KS)
NA
10/06/1992 - 05/24/1993
MARK TWAIN BROKERAGE SERVICES, INC.
MA
07/30/1991 - 10/15/1992
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NA
05/02/1991 - 07/18/1991
HOME LIFE INSURANCE COMPANY
CT
05/02/1991 - 07/18/1991
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
BOTH
Issued 06/30/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/15/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/29/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/19/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/19/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1992
Series 7 - General Securities Representative Examination
BC
Issued 04/30/1991
Series 6 - Investment Company Products/Variable Contracts 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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