Thomas W. Anderson
Professional summary
Thomas William Anderson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Thomas had worked at 9 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., NORTHSTAR SECURITIES INC., DOMINION CAPITAL CORPORATION, MARINER INVESTMENT GROUP, RICE FINANCIAL PRODUCTS COMPANY, D.E. FREY & COMPANY INC., PRINCIPAL FINANCIAL SECURITIESINC., UBS FINANCIAL SERVICES INC., CIBC WORLD MARKETS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2000 - April 30, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 8, 1998 - May 30, 2000
NORTHSTAR SECURITIES, INC.
January 27, 1997 - December 9, 1998
DOMINION CAPITAL CORPORATION
July 31, 1996 - February 5, 1997
MARINER INVESTMENT GROUP
March 25, 1996 - August 5, 1996
RICE FINANCIAL PRODUCTS COMPANY
August 23, 1995 - March 18, 1996
D.E. FREY & COMPANY, INC.
April 4, 1994 - August 21, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
August 17, 1992 - April 6, 1994
UBS FINANCIAL SERVICES INC.
July 30, 1992 - August 24, 1992
CIBC WORLD MARKETS CORP.
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, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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