Leland T. Oldham
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.
Leland Thomas Oldham, who also goes by Thomas Oldham, Tom Oldham, was a registered financial professional .
Leland is a previously registered financial professional and started their career in finance in 1978. Leland had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 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
June 3, 2022 - August 9, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 3, 2022 - August 9, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 30, 2011 - June 7, 2022
WELLS FARGO CLEARING SERVICES, LLC
September 30, 2011 - June 7, 2022
WELLS FARGO CLEARING SERVICES, LLC
December 3, 2004 - October 10, 2011
UBS FINANCIAL SERVICES INC.
December 3, 2004 - October 10, 2011
UBS FINANCIAL SERVICES INC.
July 1, 2003 - December 6, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - December 6, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 26, 1993 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1993 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 7, 1982 - May 21, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 1981 - June 3, 1982
OTC NET INCORPORATED
September 26, 1978 - March 27, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Current 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.
