Thomas F. Stallings
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 Figuers Norfleet Stallings, who also goes by T.f. Norfleet Stallings, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2011 - August 14, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 29, 2011 - August 14, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 9, 2005 - July 31, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 3, 2005 - July 31, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 25, 2003 - April 1, 2005
A. G. EDWARDS & SONS, INC.
June 13, 2003 - April 1, 2005
A. G. EDWARDS & SONS, INC.
February 2, 2000 - November 13, 2002
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
February 28, 1994 - December 20, 1999
BNY MELLON 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
Current 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.
