Raymond Thomes
Raymond Thomes is a registered investment advisor at Prospera Financial Services, INC., based in Dayton, OH, with 61 years of industry experience. Their practice areas include Estate Planning, Retirement Planning. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Prospera Financial Services offers investment management through various programs. The fees are based on a percentage of your portfolio's value and are negotiable, but the maximum annual fee is 2.15%. The specific fee and services are agreed upon in an advisory agreement. Fees are typically deducted from your account. Some programs may have additional fees, such as transaction costs or sub-account fees. Prospera also participates in revenue sharing with custodians and other third parties, which creates a conflict of interest.
Location
6450 Poe Avenue, Suite 510, Dayton, OH, 45414
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Raymond is associated with SJ Wolfe Investments, Inc. under a DBA, dedicating all of his time to this activity.
Employment History
Current Registrations
Prospera Financial Services, INC.Broker
Prospera Financial Services, INC.
Previous Registrations
Cutter & Company, INC.
Cutter & Company, INC.Broker
Butler, Wick & CO., INC.
Butler, Wick & CO., INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
Sg Cowen Securities CorporationBroker
Cowen & CO.Broker
Greene & LaddBroker
State Registrations5 states
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.