Inactive

Thomas Robert Davies

Davies Wealth Management LLC

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Current Employers

Davies Wealth Management Llc

684 Se Monterey Road, Stuart, FL 34994 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2009-10-05

FL RA
APPROVED

Since 2009-10-05

Branch Locations

684 Se Monterey Road, Stuart, FL 34994 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Davies Wealth Management Llc	Stuart	FL	07/2009	Present

07/2009 → Present

Davies Wealth Management Llc

Stuart, FL

Previous Registrations

2008-07-08 → 2009-05-29

Morgan Stanley & Co. Llc

Ft. Lauderdale, FL
2007-07-03 → 2008-03-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Plantation, FL

Weston, FL

Plantation, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-06-30

S66 Uniform Combined State Law Examination

2007-06-30

Other Names

Thomas R Davies

View on SEC IAPD

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