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Thomas Arthur Saunders

Raymond James & Associates, Inc.

Leawood, KS

CRD 862005

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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 2022-10-25
KS RA APPROVED 2021-07-16
MO RA APPROVED 2021-07-16
  • TX RA
    APPROVED
    Since 2022-10-25
  • KS RA
    APPROVED
    Since 2021-07-16
  • MO RA
    APPROVED
    Since 2021-07-16

Branch Locations

11551 Ash Street Suite 250, Leawood, KS 66211 • 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
Morgan Stanley Smith Barney Kansas City MO 06/2009 07/2021
Morgan Stanley Private Bank, National Association New York NY 01/2015 07/2021
Raymond James & Associates, Inc Overland Park KS 07/2021 Present
  • 06/2009 → 07/2021
    Morgan Stanley Smith Barney
    Kansas City, MO
  • 01/2015 → 07/2021
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 07/2021 → Present
    Raymond James & Associates, Inc
    Overland Park, KS
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-21
S63 Uniform Securities Agent State Law Examination 1980-03-27
  • S65 Uniform Investment Adviser Law Examination
    2001-03-21
  • S63 Uniform Securities Agent State Law Examination
    1980-03-27
Other Names
  • Thomas Arthur Saunders
  • Thomas A Saunders

View on SEC IAPD

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