Thomas W. Fulton
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 Webster Fulton, who also goes by Thomas W Fulton, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 1 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 - September 26, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 6, 1988 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 6, 1988 - September 26, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 20, 1986 - May 24, 1988
L.R. PEGRAM SECURITIES CORPORATION
February 1, 1983 - July 2, 1984
ANFS, INC.
March 11, 1981 - August 21, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
May 14, 1974 - February 25, 1980
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
May 14, 1974 - February 25, 1980
MONY SECURITIES 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
Series 1
Date: 5/8/1974
Registered Representative ExaminationCurrent 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.
