Thomas Brock
Thomas Brock is a registered investment advisor at Raymond James & Associates, INC., based in Wellesley, MA, with 17 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Location
Wellesley, MA
Get directionsHistory
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
Thomas is a trustee of family irrevocable trusts, dedicating minimal time to this role. His duties include writing letters.
Employment History
Current Registrations
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Raymond James & Associates, INC.
Previous Registrations
Barclays Capital INC.Broker
Lehman Brothers INC.Broker
State Registrations14 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.