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Thomas P Small

Raymond James & Associates, Inc.

West Nyack, NY

CRD 6073117

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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:

Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-10-20
NY RA APPROVED 2021-06-14
NJ RA APPROVED 2016-03-02
  • TX RA
    APPROVED_RES
    Since 2022-10-20
  • NY RA
    APPROVED
    Since 2021-06-14
  • NJ RA
    APPROVED
    Since 2016-03-02

Branch Locations

1 Crosfield Avenue Suite 102, West Nyack, NY 10994 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates West Nyack NY 11/2015 Present
  • 11/2015 → Present
    Raymond James & Associates
    West Nyack, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-07
  • S66 Uniform Combined State Law Examination
    2014-01-07
Other Names
  • Thomas Patrick Small

View on SEC IAPD

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Diane M Galvin
CHRISTINA L HOERTER

Nearby Offices

AMERIPRISE FINANCIAL SERVICES, LLC · West Nyack, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WEST NYACK, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WEST NYACK, NY

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