Thomas D. Lillard
Professional summary
Thomas Denton Lillard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Thomas had worked at 6 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., ROBERT THOMAS SECURITIES INC, PROGRESSIVE CAPITAL SECURITIES CORPORATION, UNION PLANTERS INVESTMENT BANKERS GROUP INC., BRENNER STEED INC., CARTY HARDING & HEARN INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2004 - September 26, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - September 26, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 1, 1991 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
September 28, 1990 - April 3, 1991
PROGRESSIVE CAPITAL SECURITIES CORPORATION
December 1, 1987 - October 2, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
March 8, 1985 - December 8, 1987
BRENNER STEED, INC.
December 21, 1983 - March 1, 1985
CARTY, HARDING & HEARN, 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 8
Date: 9/9/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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