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Thomas O'brien

Raymond James & Associates, INC.
33 Years of Experience
Shreveport, LA
2 DisclosuresBroker
View SEC Summary
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Thomas O'brien is a registered investment advisor at Raymond James & Associates, INC., based in Shreveport, LA, with 33 years of industry experience. Thomas 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
5790 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

401 Market Street, Suite 1400, Shreveport, LA, 71101

Get directions

History

Regulatory History (2)
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
September 2006
Closed-No Action
Customer Dispute
April 2006
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Thomas is a manager and part owner of EMA Enterprises LLC, EMA Properties LLC, and Thornhill Investments LLC. He also helps manage family oil & gas exploration production and mineral interests, and is a partner in OK, LLC, a real estate brokerage.

Employment History
Current Registrations
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 8 mos
Raymond James & Associates, INC.Broker
February 2013 - Present · 13 yrs 8 mos
Previous Registrations
Morgan Keegan & Company, INC.
November 2004 - February 2013 · 8 yrs 3 mos
Morgan Keegan & Company, INC.Broker
November 1992 - February 2013 · 20 yrs 3 mos
State Registrations20 states
AKALARAZCAFLIDILLAMAMDMSNCNYOKSCTNTXVAWY
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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