TL
Thomas C. Lloyd
OSAIC INSTITUTIONS
Lakeland, FL 33801
Some features on this profile are disabled
CRD#: 5381476
TL
Professional summary
Thomas Christopher Lloyd, who also goes by Thomas Lloyd, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Lakeland, Florida.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Thomas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Lloyd
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.) CENTRAL FLORIDA SPEECH & HEARING CENTER- LAKELAND, FL - JANUARY 4, 2022 - PRESENT; CIVIC ORGANIZATION NOT INVESTMETN RELATED; BOARD MEMBER; ASSIST WITH FUNDRAISING AND SOCIAL EVENTS AND A ADVOCATE FOR THE CENTER; 0 # OF HOURS DEVOTED PER MONTH DURING TRADE HOURS; 2 HOURS DEVOTED PER MONTH AFTER TRADE HOURS. 2.) FLORIDA CHILDREN'S MUSEUM POSITION: Vice President of the Board of Directors NATURE: As a 501c3 nonprofit organization, the Museum serves as a center of the community. We are here to serve families. In response to changes in the community, we will change to match those needs. We hope to inspire the next generation and equip them with confidence, creativity, and a love of learning. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/05/2017 ADDRESS: Lakeland FL, United States DESCRIPTION: Serve as a board member, which consists of being an advocate for the Museum. Volunteering my time to assist with fundraising, special events, and a voice in the community.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Christopher Lloyd's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Christopher Lloyd's CRS (Customer Relationship Summary).
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
Current
March 19, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 402 S Kentucky Ave Suite 100, Lakeland, FL 33801RIA
BD
CRD#: 35371
Lakeland, FL
Current
March 6, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 402 S Kentucky Ave Suite 100, Lakeland, FL 33801RIA
BD
CRD#: 35371
Lakeland, FL
Past
October 14, 2022 - February 3, 2023
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
LAKELAND, FL
Past
September 22, 2022 - October 18, 2022
PFS INVESTMENTS INC.
BD
CRD#: 10111
LAKELAND, FL
Past
April 24, 2020 - December 31, 2021
PFS INVESTMENTS INC.
BD
CRD#: 10111
LAKELAND, FL
Past
January 20, 2015 - March 13, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LAKELAND, FL
Past
December 23, 2014 - March 13, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LAKELAND, FL
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(3/17/2023)
IAR
Florida(3/19/2024)
RR
North Carolina(1/12/2024)
RR
Texas(2/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
