Thomas Roy Isaacs

Current Employers

Raymond James & Associates, Inc.

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2022-06-22

FL RA
APPROVED

Since 2022-06-22

Branch Locations

814 A1A North Suites 100 And 303, Ponte Vedra Beach, FL 32082 • 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
Ubs Financial Services Inc.	Palm Beach Garden	FL	04/2014	06/2022
Raymond James & Associates, Inc.	Ponte Vedra Beach	FL	06/2022	Present

04/2014 → 06/2022

Ubs Financial Services Inc.

Palm Beach Garden, FL
06/2022 → Present

Raymond James & Associates, Inc.

Ponte Vedra Beach, FL

Previous Registrations

2014-04-18 → 2022-06-21

Ubs Financial Services Inc.

Jacksonville, FL

Palm Beach Gardens, FL

Winter Park, FL

Winter Haven, FL

Jacksonville, FL

Melbourne, FL

Ponte Vedra Beach, FL

Gainsville, FL

Vero Beach, FL
2010-10-07 → 2014-04-09

Wells Fargo Clearing Services, Llc

New York, NY
2004-03-15 → 2010-04-28

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jacksonville, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-08-15
S63	Uniform Securities Agent State Law Examination	1985-05-21

S65 Uniform Investment Adviser Law Examination

2000-08-15
S63 Uniform Securities Agent State Law Examination

1985-05-21

Other Names

Thomas Roy Isaacs

View on SEC IAPD