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Tommy L Smith

Raymond James & Associates, Inc.

Davenport, IA

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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-11-13
IL RA APPROVED 2025-10-20
IA RA APPROVED 2025-10-20
  • TX RA
    APPROVED
    Since 2025-11-13
  • IL RA
    APPROVED
    Since 2025-10-20
  • IA RA
    APPROVED
    Since 2025-10-20

Branch Locations

4750 E 53Rd Street Suite 300, Davenport, IA 52807 • 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
Ubs Financial Services Inc Davenport IA 05/2007 10/2025
Raymond James & Associates, Inc. Davenport IA 10/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-29
S63 Uniform Securities Agent State Law Examination 1990-12-18
  • S65 Uniform Investment Adviser Law Examination
    1992-04-29
  • S63 Uniform Securities Agent State Law Examination
    1990-12-18

View on SEC IAPD

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