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Philip Thomas

Raymond James & Associates, INC.
36 Years of Experience
Winston-Salem, NC
1 DisclosureBroker
View SEC Summary
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Philip Thomas is a registered investment advisor at Raymond James & Associates, INC., based in Winston-Salem, NC, with 36 years of industry experience. Philip is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

100 North Main Street, Suite 2400, Winston-Salem, NC, 27101

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2014
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Philip serves as a trustee/successor trustee for a trust, with BB&T Trust Department managing the proceeds. He also owns rental real estate, renting an apartment to his daughter, dedicating minimal time to this activity.

Employment History
Current Registrations
Raymond James & Associates, INC.Broker
September 2016 - Present · 10 yrs 1 mo
Raymond James & Associates, INC.
September 2016 - Present · 10 yrs 1 mo
Previous Registrations
Deutsche Bank Securities INC.
December 2001 - September 2016 · 14 yrs 9 mos
Deutsche Bank Securities INC.Broker
January 2001 - September 2016 · 15 yrs 8 mos
Db Alex. Brown LLCBroker
September 1997 - January 2001 · 3 yrs 4 mos
Alex. Brown & Sons IncorporatedBroker
April 1990 - September 1997 · 7 yrs 5 mos
State Registrations22 states
AZCACODCDEFLGALAMDMONCNHNJNYOKSCTNTXUTVAWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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