Thomas L. Howard
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 Lee Howard, who also goes by Tom Howard, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 14 firms and has passed the Series 65, Series 63, SIE, PC, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2018 - March 6, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 3, 2018 - March 6, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 26, 2005 - December 31, 2017
RAYMOND JAMES & ASSOCIATES, INC.
July 14, 2005 - December 31, 2017
RAYMOND JAMES & ASSOCIATES, INC.
May 1, 1995 - July 27, 2005
CITIGROUP GLOBAL MARKETS INC.
May 1, 1995 - July 27, 2005
CITIGROUP GLOBAL MARKETS INC.
September 4, 1990 - May 4, 1995
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
May 11, 1988 - September 1, 1988
BOETTCHER & COMPANY, INC.
December 1, 1987 - May 18, 1988
ROBERT W. BAIRD & CO. INCORPORATED
June 12, 1984 - December 8, 1987
ROTAN MOSLE INC.
June 2, 1980 - June 11, 1984
E. F. HUTTON & COMPANY INC
September 16, 1977 - July 2, 1980
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 6, 1977
BACHE HALSEY STUART INC.
March 4, 1976 - August 27, 1976
BACHE & CO INCORPORATED
July 18, 1974 - March 24, 1976
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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
PC
Date: 7/12/1995
AMEX Put and Call ExamSeries 5
Date: 10/5/1981
Interest Rate Options ExaminationSeries 1
Date: 7/16/1974
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.
