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Thomas Mahler

10 Years of Experience
Cincinnati, OH
Broker

Thomas Mahler is a registered investment advisor at Raymond James & Associates, INC., based in Cincinnati, OH, with 10 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B

Fee Structure

Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location

201 East Fifth Street, Suite 2500, Cincinnati, OH, 45202

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History

Regulatory History
Clean regulatory record

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.

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Employment History
Current Registrations
Raymond James & Associates, INC.
August 2023 - Present · 2 yrs 9 mos
Raymond James & Associates, INC.
August 2023 - Present · 2 yrs 9 mos
Raymond James & Associates, INC.Broker
August 2023 - Present · 2 yrs 9 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2016 - August 2023 · 7 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2016 - August 2023 · 7 yrs 7 mos
State Registrations14 states
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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.