William R. Tomes
Professional summary
William Richard Tomes JR., CFP®, who also goes by William Richard Tomes Jr, William Richard Tomes, William Richard Jr Tomes, William Richard Tomes Jr., is a registered financial advisor currently at TOTAL WEALTH PLANNING AND MANAGEMENT, INC. located in Ponte Vedra, Florida.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. William has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Richard Tomes JR.'s CRS (Customer Relationship Summary).
Certified licenses
Start date: 2004
Experience
June 6, 2013 - Present
TOTAL WEALTH PLANNING AND MANAGEMENT, INC.
April 16, 2012 - December 31, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 16, 2012 - December 31, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 1, 2004 - February 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 1997 - February 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 1992 - July 27, 1993
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
TOTAL WEALTH PLANNING AND MANAGEMENT, INC.
CRD#: 166664 / SEC#: 801-113167
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/6/2013)
(6/7/2013)
(4/7/2017)
Exams
Current Firm
TOTAL WEALTH PLANNING AND MANAGEMENT, INC.
CRD#: 166664 / SEC#: 801-113167
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,264 |
| AUM (Assets Under Management) | $ 203,935,965 |
Red Flags
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