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Darrell Stephen Thomas

Raymond James & Associates, Inc.

Louisville, KY

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2021-06-22
TX RA APPROVED_RES 2021-06-21
  • KY RA
    APPROVED
    Since 2021-06-22
  • TX RA
    APPROVED_RES
    Since 2021-06-21

Branch Locations

4969 Us Hwy 42 Suite 1600, Louisville, KY 40222 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Louisville KY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Louisville KY 11/2016 06/2021
Raymond James And Associates, Inc. Louisville KY 06/2021 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Louisville, KY
  • 11/2016 → 06/2021
    Wells Fargo Clearing Services, Llc
    Louisville, KY
  • 06/2021 → Present
    Raymond James And Associates, Inc.
    Louisville, KY
Previous Registrations
  • 2008-01-01 → 2021-06-11
    Wells Fargo Clearing Services, Llc
    Louisville, KY
    Louisville, KY
    Louisville, KY
  • 2003-10-29 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Louisville, KY
    Louisville, KY
    St. Louis, MO
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-06-18
  • S63 Uniform Securities Agent State Law Examination
    1998-06-18
Other Names
  • Darrell Thomas
  • Darrell Stephen Thomas

View on SEC IAPD

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