Thomas Sutherland Pfeifer

Current Employers

Raymond James & Associates, Inc.

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

Current Registrations

Authority	Category	Status	Date
TN	RA	APPROVED	2013-02-13

TN RA
APPROVED

Since 2013-02-13

Branch Locations

11400 Parkside Drive Suite 200, Knoxville, TN 37934 • United States

Disclosures

2 disclosure categories 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 Yes

Employment History

Organization	City	State	From	To
Raymond James & Associates, Inc.	Knoxville	TN	02/2013	Present

02/2013 → Present

Raymond James & Associates, Inc.

Knoxville, TN

Previous Registrations

2004-01-23 → 2013-02-13

Morgan Keegan & Company, Llc

Knoxville, TN

Knoxville, TN

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-06-03
S63	Uniform Securities Agent State Law Examination	1993-05-03

S65 Uniform Investment Adviser Law Examination

1993-06-03
S63 Uniform Securities Agent State Law Examination

1993-05-03

Other Names

Thomas S Pfeifer

View on SEC IAPD

Current Employers

Raymond James & Associates, Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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