TJ
Thomas A. James
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CRD#: 257119
TJ
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 Alan James was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1968. Thomas had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 79TO, SIE, Series 1, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) Ballast Point Ventures Fund IV , 880 Carillon Parkway , St. Petersburg, FL, 33777, United States Activity Type: Personal/Private Investment Position/Title: Investment Related: Yes Start Date: 08/26/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Duties: (2) Endurance Investment Fund I LP , 880 Carillon Pkwy Tower 3, Saint Petersburg, FL, 33716-1102, United States Activity Type: Personal/Private Investment Position/Title: Investment Related: Yes Start Date: 01/22/1998 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Duties: (3) Falcon Affliates Tide Water Fleet Sub Debt , 880 Carillon Parkway , St. Petersburg , FL, 33716, United States Activity Type: Personal/Private Investment Position/Title: Investment Related: Yes Start Date: 03/23/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Duties: (4) Falcon Affliliates TIDEWATER ACQUISITION COMPANY, LLC , 880 Carillon Pkwy Tower 3, Saint Petersburg, FL, 33716-1102, United States Activity Type: Personal/Private Investment Position/Title: Investment Related: Yes Start Date: 08/07/2014 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Duties: (5) Falcon Affliliates Tidewater Fleet , 880 Carillon Parkway , St. Petersburg , FL, 77316, United States Activity Type: Personal/Private Investment Position/Title: Investment Related: Yes Start Date: 07/22/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Duties: (6) Nielsen Biosciences , 880 Carillon Pkwy Tower 3, Saint Petersburg, FL, 33716-1102, United States Activity Type: Personal/Private Investment Position/Title: Investment Related: Yes Start Date: 07/21/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Duties: (7) Nielsen Biosciences , 880 Carillon Pkwy Tower 3, Saint Petersburg, FL, 33716-1102, United States Activity Type: Personal/Private Investment Position/Title: Investment Related: Yes Start Date: 09/15/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Duties: (8) Salvador Dali Museum , One Dali Blvd, St. Petersburg, FL, 33701, United States Activity Type: Non profit Position/Title: Board Member Investment Related: Yes Start Date: 07/27/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Duties: Board of Trustees and Executive Committee member. (9) Third Lake Partners Waterview Fund , 880 Carillon Parkway , St. Petersburg, FL, 33716, United States Activity Type: Personal/Private Investment Position/Title: Investment Related: Yes Start Date: 08/26/2019 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Duties: (10) Third Lake Partners Multifamily Fund II , 880 Carillon Parkway , St. Petersburg , FL, 33716, United States Activity Type: Personal/Private Investment Position/Title: Investment Related: Yes Start Date: 07/22/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Duties: (11) Third Lake RE Multifamily Fund III , 9341 Silverthorn , Largo , FL, 33777, United States Activity Type: Personal/Private Investment Position/Title: Investment Related: Yes Start Date: 12/07/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Duties:
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 11, 1983 - October 31, 2025
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
ST. PETERSBURG, FL
Past
March 17, 1982 - October 31, 2025
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
May 30, 1974 - September 11, 1990
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Past
March 22, 1968 - November 2, 1973
INVESTMENT MANAGEMENT & RESEARCH INC
BD
CRD#: 1000002
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/26/1965
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
880 Carillon Parkway, St. Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St. Petersburg, FL 33716
Phone number
(727) 567-1000
Established
Florida since 02/19/1969
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
13,966
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| AULETTA, SUZANNE ELIZABETH | DIRECTOR | 1418817 |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CAMPAGNOLI, VINCENT JOHN | CHIEF INFORMATION OFFICER | 1421076 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
