Thomas D. Parkhurst
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas David Parkhurst, who also goes by Thomas S Parkhurst, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - November 22, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 18, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 1, 1993 - November 22, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 3, 1986 - September 3, 1993
WALNUT STREET SECURITIES, INC.
June 21, 1985 - October 22, 1986
JOHN HANCOCK DISTRIBUTORS LLC
March 19, 1985 - October 29, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
June 25, 1982 - November 26, 1990
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
