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Raymond Thomas

Private Advisor Group, LLC
32 Years of Experience
Pompano Beach, FL
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Raymond Thomas is a registered investment advisor at Private Advisor Group, LLC, based in Pompano Beach, FL, with 32 years of industry experience. Raymond is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 142,225 clients with $44B in assets under management.

Private Advisor Group, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
930 advisors
Number of Clients
142,225 clients
Average Client Portfolio
$312K average
Assets Under Management
$44.3B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum annual fee is 2.00%, negotiable based on assets, account composition, and complexity.

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

Location

Pompano Beach, FL

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History

Regulatory History (3)
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
October 2011
Denied
Customer Dispute
April 2009
Denied
Customer Dispute
April 2004
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Raymond is a registered investment advisor with Private Advisor Group and Thomas Wealth Management, dedicating a significant amount of time to these activities. He also owns a real estate rental property and Legacy Yacht Charters, and is involved in non-variable insurance.

Employment History
Current Registrations
Private Advisor Group, LLC
November 2012 - Present · 13 yrs 11 mos
LPL Financial LLCBroker
August 2011 - Present · 15 yrs 2 mos
Previous Registrations
Private Advisor Group, LLC
August 2011 - November 2012 · 1 yr 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - August 2011 · 1 yr 10 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - August 2011 · 1 yr 10 mos
Banc of America Investment Services, INC.
October 2004 - October 2009 · 5 yrs
Banc of America Investment Services, INC.Broker
October 2004 - October 2009 · 5 yrs
Quick & Reilly, INC.Broker
July 2004 - October 2004 · 3 mos
PNC InvestmentsBroker
January 2004 - June 2004 · 5 mos
J.J.B. Hilliard, W.L. Lyons, INC.Broker
November 2002 - January 2004 · 1 yr 2 mos
PFS Investments INC.Broker
April 1994 - November 2002 · 8 yrs 7 mos
State Registrations11 states
DEFLGAMDNCNJNYOKPARIVA
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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