Thomas E. Mcnellis
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 Edward Mcnellis, who also goes by Tom Mcnellis, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2013 - June 4, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 13, 1989 - June 4, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 19, 1989 - December 19, 1989
OSAIC WEALTH, INC.
February 19, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 23, 1973 - November 3, 1977
NORTH STAR EQUITIES COMPANY
May 23, 1973 - January 29, 1987
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
July 9, 1970 - June 3, 1973
BUSH & COMPANY 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
Series 1
Date: 6/26/1970
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.
