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Thomas Alexander Lord

Raymond James & Associates, Inc.

Carmel, IN

CRD 7071825

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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
IN RA APPROVED 2019-08-01
  • IN RA
    APPROVED
    Since 2019-08-01

Branch Locations

11611 N Meridian St Ste 600, Carmel, IN 46032-7118 • 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 Indianapolis IN 02/2019 Present
Genesys Telecommunications Indianapolis IN 01/2017 01/2019
Interactive Intelligence Inc. Indianapolis IN 05/2016 01/2017
  • 02/2019 → Present
    Raymond James
    Indianapolis, IN
  • 01/2017 → 01/2019
    Genesys Telecommunications
    Indianapolis, IN
  • 05/2016 → 01/2017
    Interactive Intelligence Inc.
    Indianapolis, IN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-27
  • S66 Uniform Combined State Law Examination
    2019-07-27
Other Names
  • Thomas A Lord

View on SEC IAPD

Nearby Firms

VALIC FINANCIAL ADVISORS, INC.
OPPENHEIMER ASSET MANAGEMENT
ONEAMERICA SECURITIES, INC.

Nearby Investors

ADAM TREVOR BUNDAY
GARY MICHAEL BRIDWELL
DAKOTA A BUNDAY

Nearby Offices

VALIC FINANCIAL ADVISORS, INC. · CARMEL, IN
OPPENHEIMER ASSET MANAGEMENT · CARMEL, IN
ONEAMERICA SECURITIES, INC. · CARMEL, IN

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