Thomas Frederick Graf

Current Employers

Raymond James & Associates, Inc.

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2024-09-11
NJ	RA	APPROVED	2018-11-21

NY RA
APPROVED

Since 2024-09-11
NJ RA
APPROVED

Since 2018-11-21

Branch Locations

61 South Paramus Road Suite 360, Paramus, NJ 07652 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Ringwood	NJ	01/2012	11/2016
Wells Fargo Clearing Services, Llc	Ringwood	NJ	11/2016	11/2018
Raymond James & Associates	Paramus	NJ	11/2018	Present

01/2012 → 11/2016

Wells Fargo Advisors Llc

Ringwood, NJ
11/2016 → 11/2018

Wells Fargo Clearing Services, Llc

Ringwood, NJ
11/2018 → Present

Raymond James & Associates

Paramus, NJ

Previous Registrations

2012-01-20 → 2018-11-12

Wells Fargo Clearing Services, Llc

Ringwood, NJ

Summit, NJ

West Milford, NJ

Hawthorne, NJ

Totowa, NJ

Summit, NJ

Short Hills, NJ

Monsey, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-03-02
S63	Uniform Securities Agent State Law Examination	1998-07-27

S65 Uniform Investment Adviser Law Examination

2012-03-02
S63 Uniform Securities Agent State Law Examination

1998-07-27

Designations

Other Names

Thomas Frederick Graf
Thomas F Graf

View on SEC IAPD