Marilyn A. Thomas
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.
Marilyn Ann Thomas, who also goes by Marilyn Ann Chadwell, was a registered financial professional .
Marilyn is a previously registered financial professional and started their career in finance in 1987. Marilyn had worked at 5 firms and has passed the Series 66, Series 63, Series 65 and Series 7 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 - December 21, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 10, 2006 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 17, 2005 - December 21, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 29, 2002 - June 17, 2005
EQUITABLE ADVISORS, LLC
March 6, 2002 - June 17, 2005
EQUITABLE ADVISORS, LLC
March 27, 1998 - September 25, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 1998 - April 10, 1998
SMITH HAYES FINANCIAL SERVICES CORPORATION
April 29, 1987 - February 2, 1993
KFS BD, 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.
