Thomas Small, financial advisor West Nyack NY
89 score

Thomas Small

CRD Number: 6073117
Current Firm: Raymond James & Associates, Inc.

Thomas Small (CRD# 6073117) is an Investment Advisor Representative working at Raymond James & Associates, Inc. in West Nyack, NY and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Raymond James & Associates West Nyack, NY Nov 2015 - Current 1
Bank Of America, N.a. West Nyack, NY Sep 2014 - Nov 2015 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated West Nyack, NY Jul 2013 - Nov 2015 2
Suny Oswego Oswego, NY Aug 2009 - May 2013 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated West Nyack, NY Feb 2013 - Apr 2013 < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated West Nyack, NY May 2012 - Aug 2012 < 1
Town Of Ramapo Parks And Recreation Department Suffern, NY Mar 2007 - Aug 2012 5
Suffern High School Suffern, NY Sep 2005 - Jun 2009 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2014
Contact Info for Thomas P. Small
Phone Number: 727-567-1000
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    91,401
    MILLIONS
  • Total Number of Accounts
    317,837
    ACCOUNTS
  • Average Account Value
    $287,573
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
89
Clean Record
This advisor has a clean track record with regulators.

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