Thomas A. Sullivan
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 Anthony Sullivan, who also goes by Tom Sullivan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 15 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 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
August 12, 2013 - May 12, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 8, 2013 - May 12, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 23, 2005 - August 15, 2013
PNC WEALTH MANAGEMENT LLC
May 23, 2005 - August 15, 2013
PNC WEALTH MANAGEMENT LLC
October 20, 2004 - May 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - May 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 16, 2004 - October 20, 2004
QUICK & REILLY, INC.
August 1, 2003 - October 20, 2004
QUICK & REILLY, INC.
October 1, 2000 - July 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 7, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
February 28, 1997 - April 6, 1998
HSBC BROKERAGE (USA) INC.
December 7, 1994 - March 3, 1997
MONY SECURITIES CORPORATION
March 17, 1993 - November 28, 1994
CAPITAL BROKERAGE CORPORATION
October 23, 1992 - March 17, 1993
INVEST FINANCIAL CORPORATION
October 16, 1990 - October 27, 1992
NORTHEAST BROKERAGE SERVICES CORPORATION
June 2, 1989 - October 24, 1990
WAMU INVESTMENTS, INC.
April 11, 1988 - June 7, 1989
MORGAN STANLEY DW INC.
January 9, 1986 - April 12, 1988
FIRST INTERREGIONAL EQUITY CORP.
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.
