Thomas J. Boucher

Some features on this profile are disabled

CRD#: 4780528

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 James Boucher was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 5 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

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 1, 2015 - January 15, 2016

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

CHICAGO, IL

Past

February 20, 2009 - May 9, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

February 20, 2009 - May 9, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

October 24, 2008 - November 21, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

June 27, 2006 - October 24, 2008

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

October 27, 2005 - March 3, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

STREAMWOOD, IL

Past

June 3, 2004 - November 1, 2005

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

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".

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/1/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/29/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/23/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/2/2004

General Securities Representative Examination

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

101 N. Wacker Drive Suite 1500, Chicago, IL 60606

Mailing Address

Phone number

(312) 265-9266

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZACKS ADV PART 2 & APPENDIX 1 05 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	12,050
AUM (Assets Under Management)	$ 12,414,372,511

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas J. Boucher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC OF AMERICA INVESTMENT SERVICES, INC.

LASALLE FINANCIAL SERVICES, INC.

CHASE INVESTMENT SERVICES CORP.

FIFTH THIRD SECURITIES, INC.

Primary Firm SEC Registration

ZACKS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/2015

Series 66

Date: 2/29/2008

Series 63

Date: 4/23/2004

Series 7

Date: 6/2/2004

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZACKS INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors