Thomas H. Follmer
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 Harold Follmer, who also goes by Tom Follmer, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1969. Thomas had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 3, PC, Series 000, Series 1, Series 8 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2009 - January 15, 2016
RAYMOND JAMES & ASSOCIATES, INC.
August 31, 2009 - January 15, 2016
RAYMOND JAMES & ASSOCIATES, INC.
June 1, 2009 - September 18, 2009
MORGAN STANLEY
June 1, 2009 - September 18, 2009
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 13, 2001 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
June 11, 2001 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
September 7, 1994 - July 10, 2001
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 29, 1982 - August 22, 1994
PRUDENTIAL EQUITY GROUP, LLC
May 16, 1980 - November 30, 1982
E. F. HUTTON & COMPANY INC
October 20, 1978 - June 15, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 1976 - July 12, 1978
CIBC WORLD MARKETS CORP.
March 25, 1969 - June 27, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 5
Date: 6/11/1986
Interest Rate Options ExaminationPC
Date: 6/3/1980
AMEX Put and Call ExamSeries 000
Date: 3/21/1969
General Securities Principal ExaminationSeries 1
Date: 3/21/1969
Registered Representative ExaminationSeries 8
Date: 3/7/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 10/18/1983
NYSE Branch Manager ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
