Thomas R. Platt

CONNORS INVESTOR SERVICES

NAPLES, FL

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CRD#: 2075737

Professional summary

Thomas Raymond Platt, CIMA®, who also goes by Thomas R Platt, is a registered financial advisor currently at CONNORS INVESTOR SERVICES INC located in Naples, Florida.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Thomas has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas R Platt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

will sell fixed annuities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Raymond Platt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

March 10, 2015 - Present

CONNORS INVESTOR SERVICES INC

RIA

CRD#: 106993

NAPLES, FL

Past

November 9, 2015 - June 23, 2017

VARIABLE INVESTMENT ASSOCIATES, INC.

CRD#: 44412

TEA, SD

Past

June 5, 2013 - November 18, 2013

VARIABLE INVESTMENT ASSOCIATES, INC.

CRD#: 44412

TEA, SD

Past

November 5, 2009 - June 15, 2011

BLACKROCK FUND DISTRIBUTION COMPANY

CRD#: 146183

SAN FRANCISCO, CA

Past

June 12, 2007 - June 15, 2011

BLACKROCK FUND ADVISORS

RIA

CRD#: 105247

SAN FRANCISCO, CA

Past

June 12, 2007 - December 31, 2009

BLACKROCK EXECUTION SERVICES

CRD#: 39438

NEW YORK, NY

Past

March 8, 2002 - May 7, 2007

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

BOSTON, MA

Past

March 6, 2002 - May 7, 2007

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

May 8, 2000 - January 18, 2002

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

September 13, 1996 - May 4, 2000

LPM INVESTMENT SERVICES, INC

CRD#: 33980

PALM BEACH, FL

Past

April 29, 1996 - April 25, 1997

JONES, BYRD, & ATTKISSON, INC.

CRD#: 36268

ATLANTA, GA

Past

April 4, 1996 - August 13, 1996

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

December 7, 1994 - April 26, 1996

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

BROOKLYN, OH

Past

July 8, 1994 - September 27, 1994

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

July 8, 1992 - June 29, 1994

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

November 21, 1990 - August 10, 1992

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

November 21, 1990 - August 10, 1992

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CONNORS INVESTOR SERVICES INC

CRD#: 106993 / SEC#: 801-6211

RIA

Registered Investment Advisory firm - (12/25/1969 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(10/11/2017)

IAR

Pennsylvania
(3/10/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/9/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/31/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/23/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/20/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/15/2001

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CONNORS INVESTOR SERVICES INC

CRD#: 106993 / SEC#: 801-6211

RIA

Registered Investment Advisory firm - (12/25/1969 Approved)

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Contact information

Main Address

1210 Broadcasting Road Suite 200, Wyomissing, PA 19610-3213

Mailing Address

Phone number

(610) 376-7418

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM CRS (3/31/2025)

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	626
AUM (Assets Under Management)	$ 1,203,741,788

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Thomas R. Platt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Raymond Platt's CRS (Customer Relationship Summary).

Certified licenses

Experience

VARIABLE INVESTMENT ASSOCIATES, INC.

VARIABLE INVESTMENT ASSOCIATES, INC.

BLACKROCK FUND DISTRIBUTION COMPANY

BLACKROCK FUND ADVISORS

BLACKROCK EXECUTION SERVICES

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

FUNDS DISTRIBUTOR, LLC

LPM INVESTMENT SERVICES, INC

JONES, BYRD, & ATTKISSON, INC.

FORESIDE DISTRIBUTION SERVICES, L.P.

VICTORY CAPITAL SERVICES, INC.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CAPITAL BROKERAGE CORPORATION

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CONNORS INVESTOR SERVICES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/1996

Series 63

Date: 1/31/1991

SIE

Date: 6/23/2017

Series 7

Date: 9/21/1994

Series 6

Date: 11/20/1990

Series 26

Date: 2/15/2001

Current Firm

CONNORS INVESTOR SERVICES INC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONNORS INVESTOR SERVICES INC

TRUST BUT VERIFY

Contact information

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