Thomas M. Brett
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 Michael Brett, who also goes by Tom Brett, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 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 - January 28, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 26, 2006 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 22, 2006 - January 28, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 23, 2005 - September 27, 2006
MSI FINANCIAL SERVICES, INC.
May 2, 2005 - September 27, 2006
METROPOLITAN LIFE INSURANCE COMPANY
May 2, 2005 - September 27, 2006
MSI FINANCIAL SERVICES, INC.
January 19, 2005 - January 26, 2005
NEWALLIANCE INVESTMENTS, INC.
March 31, 2004 - January 26, 2005
NEWALLIANCE INVESTMENTS, INC.
September 24, 2003 - March 8, 2004
IFMG SECURITIES, INC.
September 24, 2003 - March 8, 2004
IFMG SECURITIES, INC.
May 11, 2001 - September 19, 2003
ADVEST, INC.
April 27, 2001 - September 19, 2003
ADVEST, INC.
January 4, 1999 - May 1, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 6, 1996 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
March 13, 1996 - February 18, 1997
INVEST FINANCIAL CORPORATION
January 12, 1995 - March 4, 1996
FSC SECURITIES CORPORATION
January 4, 1995 - January 9, 1995
COMPULIFE INVESTOR SERVICES, INC.
September 11, 1991 - December 16, 1994
INVEST FINANCIAL CORPORATION
March 22, 1991 - September 4, 1991
WALL STREET ACCESS
February 2, 1990 - March 21, 1991
ROYAL HUTTON SECURITIES CORP.
October 19, 1988 - February 13, 1990
INVEST FINANCIAL CORPORATION
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.
Company Information
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Branch ManagerCRD#: 149018TRUST BUT VERIFY
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