Thomas D. Harrington
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 Daniel Harrington, who also goes by Thomas D Harrington, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1979. Thomas had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2009 - December 31, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 6, 2005 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 7, 2003 - December 31, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 6, 1997 - April 1, 2002
BOFA DISTRIBUTORS, INC.
June 15, 1994 - June 4, 1997
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
November 28, 1990 - May 10, 1994
COLONIAL INVESTMENT SERVICES
April 5, 1989 - November 29, 1990
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
November 16, 1988 - April 10, 1989
SECURITY DISTRIBUTORS
September 24, 1986 - April 10, 1989
SECURITY DISTRIBUTORS
February 21, 1985 - September 8, 1986
A. G. EDWARDS & SONS, INC.
January 16, 1984 - February 12, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 1982 - January 30, 1984
PRUCO SECURITIES, LLC.
December 6, 1979 - January 30, 1984
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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 1
Date: 11/23/1979
Registered Representative 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.
