Thomas L. Foote

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CRD#: 1082428

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 Lyn Foote was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1)Name of Business: Foote Hansan Davis Inc. Address: 700 W White River Blvd, Muncie, IN, 47303, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 12/07/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Partner (2)Name of Business: High St Church Address: 219 S High Street, Muncie, IN, 47305, United States Activity Type: Religious Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 01/01/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: church finance committee (3)Name of Business: White River Wealth Advisors Address: 700 W White River Blvd, Muncie, IN, 47303, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 10/08/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: None

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 24, 2017 - December 24, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

MUNCIE, IN

Past

October 23, 2017 - December 24, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Muncie, IN

Past

November 19, 2008 - October 30, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MUNCIE, IN

Past

November 19, 2008 - October 30, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MUNCIE, IN

Past

September 22, 2005 - November 19, 2008

CITY SECURITIES CORPORATION

RIA

CRD#: 1459

MUNCIE, IN

Past

April 14, 2004 - January 4, 2005

CITY SECURITIES CORPORATION

RIA

CRD#: 1459

MUNCIE, IN

Past

April 14, 2004 - November 19, 2008

CITY SECURITIES CORPORATION

CRD#: 1459

MUNCIE, IN

Past

February 17, 2000 - April 15, 2004

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

MUNCIE, IN

Past

January 4, 1999 - December 31, 2001

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

August 3, 1998 - January 4, 1999

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

August 23, 1996 - April 15, 2004

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

January 15, 1996 - August 3, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

October 30, 1995 - July 10, 1996

NATIONAL CITY INVESTMENTS CORPORATION

CRD#: 17365

Past

July 14, 1995 - August 11, 1995

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

September 19, 1990 - July 14, 1995

RAFFENSPERGER, HUGHES & CO., INC.

CRD#: 699

INDIANAPOLIS, IN

Past

September 15, 1989 - October 12, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 26, 1986 - September 15, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

December 1, 1983 - December 17, 1986

PRUCO SECURITIES, LLC.

CRD#: 5685

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/26/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/15/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/30/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

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	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Thomas L. Foote

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

CITY SECURITIES CORPORATION

CITY SECURITIES CORPORATION

CITY SECURITIES CORPORATION

NATCITY INVESTMENTS, INC.

NATCITY INSURANCE SERVICES, INC.

IFMG SECURITIES, INC.

NATCITY INVESTMENTS, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

NATIONAL CITY INVESTMENTS CORPORATION

NATCITY INVESTMENTS, INC.

RAFFENSPERGER, HUGHES & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

THOMSON MCKINNON SECURITIES INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/26/2000

Series 63

Date: 9/15/1983

SIE

Date: 10/1/2018

Series 7

Date: 1/17/1987

Series 6

Date: 11/30/1983

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

Contact information

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