Ronald L. Thatcher
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.
Ronald Leroy Thatcher, who also goes by Ron Thatcher, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1968. Ronald had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1, Series 24, Series 53, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - December 31, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 11, 2002 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - December 31, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 12, 1996 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
January 8, 1974 - May 29, 1996
RAYMOND JAMES & ASSOCIATES, INC.
February 7, 1973 - February 24, 1974
CONSOLIDATED SECURITIES CORP
December 2, 1971 - March 10, 1973
CAMBRIDGE SECURITIES, INC.
August 26, 1968 - December 22, 1971
ALLEN & COMPANY
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 10/10/1977
AMEX Put and Call ExamSeries 1
Date: 8/19/1968
Registered Representative ExaminationSeries 00
Date: 7/8/1972
General Securities Principal 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.
