Thomas M Brock

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2008 → 01/2017
  Barclays Capital Inc.
  Boston, MA
• 04/2024 → Present
  Raymond James & Associates, Inc.
  Boston, MA
• 01/2017 → 06/2017
  Unemployed
  Wellesley, MA
• 06/2017 → 12/2023
  Manulife Investment Management
  Boston, MA
• 12/2023 → 04/2024
  Unemployed
  Wellesley, MA

Other Businesses

(1)Name of Business: Brock Address: 29 Standish Circle, Wellesley, MA, 02481, United States Activity Type: Control Person Position/Title: Trustee (Acting) Investment Related: Yes Start Date: 03/10/2014 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Trustee of family irrevocable trusts. Write crummy letters

Exams

• S66 Uniform Combined State Law Examination
  2024-05-31
• S63 Uniform Securities Agent State Law Examination
  2001-10-10

Other Names

• Thomas Michael Brock