Thomas A. Snyder
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 Albert Snyder was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55, Series 9, Series 10, Series 53, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2012 - March 14, 2013
MORGAN KEEGAN & COMPANY, LLC
April 5, 2012 - March 14, 2013
MORGAN KEEGAN & COMPANY, LLC
April 2, 2012 - October 24, 2024
RAYMOND JAMES & ASSOCIATES, INC.
April 2, 2012 - October 24, 2024
RAYMOND JAMES & ASSOCIATES, INC.
March 23, 2004 - April 2, 2012
MORGAN KEEGAN & COMPANY, LLC
September 26, 1991 - April 2, 2012
MORGAN KEEGAN & COMPANY, LLC
September 10, 1990 - August 20, 1991
GIT INVESTMENT SERVICES, INC.
May 8, 1989 - September 12, 1990
MORGAN KEEGAN & COMPANY, LLC
June 27, 1985 - July 11, 1986
CONTEMPORARY CAPITAL, INC.
November 1, 1983 - May 8, 1989
T. J. RANEY & SONS, INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/11/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 10/2/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
