Thomas Mcdonald

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CRD#: 6932575

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 Mcdonald was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2020. Thomas had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO and SIE 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

October 28, 2025 - November 6, 2025

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

RIA

CRD#: 187519

TAMPA, FL

Past

November 18, 2024 - June 6, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

TAMPA, FL

Past

November 14, 2024 - June 6, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

TAMPA, FL

Past

September 15, 2023 - November 12, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

TAMPA, FL

Past

August 25, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

TAMPA, FL

Past

June 17, 2022 - November 8, 2022

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

January 21, 2020 - September 22, 2020

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

BOCA RATON, 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".

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

CRD#: 187519 / SEC#: 801-117852

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Florida

Registered Investment Advisory firm - (1/7/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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: 9/13/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/21/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/2/2019

Securities Industry Essentials Examination

Current Firm

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

CRD#: 187519 / SEC#: 801-117852

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Florida

Registered Investment Advisory firm - (1/7/2020 Terminated)

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Contact information

Main Address

10015 Gallant Lane, Tampa, FL 33625

Mailing Address

Phone number

(813) 443-0879

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A DISCLOSURE BROCHURE (6/4/2025)

Regulatory assets under management

Total Number of Accounts	670
AUM (Assets Under Management)	$ 152,033,063

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.

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Advisor Monitoring

Firm Stability Insights

Thomas Mcdonald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

FORESIDE FUND SERVICES, LLC

DAVID LERNER ASSOCIATES, INC.

Primary Firm SEC Registration

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/2023

Series 63

Date: 2/12/2020

Series 7TO

Date: 1/21/2020

SIE

Date: 10/2/2019

Current Firm

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

TRUST BUT VERIFY

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