Thomas M Brock
Investment adviser representative at Raymond James & Associates, Inc.
18 yearsExperience
1 stateRegistered in
$501BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
18 years in the industry.
- Raymond James & Associates, Inc.Apr 2024 to now
- UnemployedDec 2023 to Apr 2024
- Manulife Investment ManagementJun 2017 to Dec 2023
- UnemployedJan 2017 to Jun 2017
- Barclays Capital Inc.Sep 2008 to Jan 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2001
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 1 state (VT).
Raymond James & Associates, Inc.
$501BAssets managed
531,617Clients
5,571Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4457233
- Firm CRD
- 705