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TD

Thomas R. Dodd

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CRD#: 2881408
TD

Professional summary

Thomas Robert Dodd 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 1997. Prior to being barred, Thomas had worked at 3 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Dodd

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.
The advisor shows no other business activity.

Blog Corner

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®
None

Experience

Past

June 28, 2001 - November 7, 2001

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

May 9, 1997 - July 3, 2001

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

May 9, 1997 - July 3, 2001

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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

General Industry/Product Exam
RR
Series 6
Date: 5/1/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES, INC.
RAYMOND JAMES FINANCIAL SERVICES, INC.
INVESTMENT MANAGEMENT & RESEARCH, INC | RAYMOND JAMES FINANCIAL SERVICES, INC. | RAYMOND JAMES FINANCIAL SERVICES | RAYMOND JAMES ADVISORY SERVICES

CRD#: 6694 / SEC#: , 8-17983

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 09/12/1973
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RAYMOND JAMES FINANCIAL, INC.OWNER
BARKO, SHAWN JOSEPHCHIEF COMPLIANCE OFFICER2690394
CURTIS, SCOTTDIRECTOR1707935
ELWYN, TASHTEGO SPRINGDIRECTOR, CHAIRMAN OF THE BOARD, PRESIDENT, AND CHIEF EXECUTIVE OFFICER2319098
GEIS, WILLIAM CHRISTIANDIRECTOR2171250
GRIGAS CALIGIURI, KARAPRINCIPAL FINANCIAL OFFICER, FINOP2146027
KRUCHTEN, STEPHEN EDWARDDIRECTOR1645287
RUST, KEITH GPRINCIPAL OPERATIONS OFFICER5915636
SANTELLI, JONATHANGENERAL COUNSEL6306997
ZOLPER, ANDREW CANNINGDIRECTOR5304616

Disclosures

Regulatory Event128
Arbitration76

Red Flags

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Company Information

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

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